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.
C•••• A•• P•••••
- W•••••• B•••• • C•••••• L••••• BD affiliated currentsince Sep 13, 2021 · Chicago, Il
- B•••• A••••••• S••••••••• L•• formerDec 3, 2002 to Sep 13, 2021 · Washington, Dc
- B•••• A••••••• S••••••••• L•• unclassifiedDec 3, 2002 to Oct 10, 2003 · Baltimore, Md
- D••••••• B••• S••••••••• I••• no RAUMAug 11, 2000 to Nov 26, 2002 · Washington, Dc
- B•••• A••••••• S••••••••• L•• to W•••••• B•••• • C•••••• L•••••left Sep 13, 2021, registered Sep 13, 2021 (0 days) · RIA to affiliated broker-dealer or bank
- B•••• A••••••• S••••••••• L•• to B•••• A••••••• S••••••••• L••left Oct 10, 2003, registered Dec 3, 2002 (-311 days) · Other
- D••••••• B••• S••••••••• I••• to B•••• A••••••• S••••••••• L••left Nov 26, 2002, registered Dec 3, 2002 (7 days) · Other
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
- 26derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address