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.
E••• P••• H•••••
- R•••••• J•••• • A••••••••• I••• national BD currentsince Jul 26, 2023 · Bethesda, Md
- U•• F•••••••• S••••••• I••• wirehouseDec 9, 2005 to Aug 4, 2023 · Bethesda, Md
- J••••••• L•••• A•••• M••••••••• I•• formerJan 7, 2003 to Dec 9, 2005 · Washington, Dc
- U•• F•••••••• S••••••• I••• to R•••••• J•••• • A••••••••• I•••left Aug 4, 2023, registered Jul 26, 2023 (-9 days) · Wirehouse to affiliated broker-dealer or bank
- J••••••• L•••• A•••• M••••••••• I•• to U•• F•••••••• S••••••• I•••left Dec 9, 2005, registered Dec 9, 2005 (0 days) · Other
- E••• P••• H••••• left U•• F•••••••• S••••••• I••• for R•••••• J•••• • A••••••••• I••• (registered 2023-07-26)Aug 4, 2023 · 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
- National broker-dealer RIAderived
- Years in industry
- 27derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address