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.
B•••• P• M•••••
- T• R••• P•••• A••••••• S•••••••• I••• BD affiliated currentsince Jul 15, 2024 · Baltimore, Md
- J••• M••••• S••••••••• L•• wirehouseSep 18, 2019 to Aug 26, 2022 · Cockeysville, Md
- E••••• J•••• national BDJul 3, 2017 to Sep 6, 2019 · Sparks, Md
- V••••• C•••••• A•••••••• L•• otherMay 15, 2015 to Jun 1, 2017 · Sparks, Md
- M•• S••••••••• I••• unclassifiedSep 27, 2006 to Jul 18, 2008 · Baltimore, Md
- C••••••••• I••••••••• L•• mixed wealthMar 17, 2006 to Sep 6, 2006 · New York, Ny
- L••• M•••• W••• W•••••• I••••••••• unclassifiedApr 7, 2005 to Dec 5, 2005 · Baltimore, Md
- J••• M••••• S••••••••• L•• to T• R••• P•••• A••••••• S•••••••• I•••left Aug 26, 2022, registered Jul 15, 2024 (689 days) · Wirehouse to affiliated broker-dealer or bank
- E••••• J•••• to J••• M••••• S••••••••• L••left Sep 6, 2019, registered Sep 18, 2019 (12 days) · Affiliated broker-dealer or bank to wirehouse
- V••••• C•••••• A•••••••• L•• to E••••• J••••left Jun 1, 2017, registered Jul 3, 2017 (32 days) · Other
- M•• S••••••••• I••• to V••••• C•••••• A•••••••• L••left Jul 18, 2008, registered May 15, 2015 (2492 days) · Other
- C••••••••• I••••••••• L•• to M•• S••••••••• I•••left Sep 6, 2006, registered Sep 27, 2006 (21 days) · Other
- L••• M•••• W••• W•••••• I••••••••• to C••••••••• I••••••••• L••left Dec 5, 2005, registered Mar 17, 2006 (102 days) · Other
- B•••• P• M••••• left J••• M••••• S••••••••• L•• for T• R••• P•••• A••••••• S•••••••• I••• (registered 2024-07-15)Aug 26, 2022 · 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
- 27derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address