RIA Intelligence
Registered investment advisers, the advisors registered through them, the capital they report, the private vehicles they run and the people who own them, as a graph with a filing date behind every number. RAUM is what the adviser filed, a move is two registration dates, and a class is a rule you can read.
The names on this page are hidden. Create a free account and they fill in. No card, and every figure, date and source on this page is public either way.
S••••• M•••••
- U••••• B•••••••• S••••••• I•• BD affiliated currentsince Jul 25, 2024 · Duluth, Ga
- P•• W••••• M••••••••• BD affiliatedMay 23, 2018 to Jun 28, 2024 · Bel Air, Md
- C•••••• O•• A•••••••• L•• formerJun 23, 2015 to Apr 23, 2018 · Mclean, Va
- M••••• S•••••• wirehouseAug 16, 2013 to May 18, 2015 · Columbia, Md
- P•• W••••• M••••••••• BD affiliatedNov 6, 2012 to Aug 7, 2013 · Baltimore, Md
- P•• W••••• M••••••••• BD affiliatedJun 25, 2010 to Jul 5, 2012 · Bel Air, Md
- W•••• F•••• A••••••• wirehouseJul 19, 2005 to Mar 31, 2009 · Columbia, Md
- P•• W••••• M••••••••• to U••••• B•••••••• S••••••• I••left Jun 28, 2024, registered Jul 25, 2024 (27 days) · Affiliated broker-dealer or bank to another
- C•••••• O•• A•••••••• L•• to P•• W••••• M•••••••••left Apr 23, 2018, registered May 23, 2018 (30 days) · Affiliated broker-dealer or bank to another
- M••••• S•••••• to C•••••• O•• A•••••••• L••left May 18, 2015, registered Jun 23, 2015 (36 days) · Other
- P•• W••••• M••••••••• to M••••• S••••••left Aug 7, 2013, registered Aug 16, 2013 (9 days) · Other
- W•••• F•••• A••••••• to P•• W••••• M•••••••••left Mar 31, 2009, registered Jun 25, 2010 (451 days) · Other
- S••••• M••••• left P•• W••••• M••••••••• for U••••• B•••••••• S••••••• I•• (registered 2024-07-25)Jun 28, 2024 · Advisor changed firm · fact
Mobility scoring is not published yet. The observable conditions this page will draw on once the historical validation is done: tenure, the firm’s own departures and ownership changes, new state registrations, a new adviser entity with this person on Schedule A, and colleagues’ moves. Until precision and lead time are measured on known moves, no label is printed. Read the methodology.
- Source
- IAPD individual compilation feedreportedadviserinfo.sec.gov
- Firm class
- Broker-dealer affiliated wealth managerderived
- Years in industry
- 28derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address