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.
M••••••••• M•••• C••••
- P•••••• C••••• S•••••••• L•• BD affiliated currentsince Nov 11, 2019 · Gaithersburg, Md
- B••• O•••• G••••• W••••• unclassifiedDec 23, 2013 to Dec 31, 2020 · Gaithersburg, Md
- A••••••••• F•••••••• S•••••••• L•• national BDMar 11, 1999 to Dec 6, 2013 · Bethesda, Md
- B••• O•••• G••••• W••••• to P•••••• C••••• S•••••••• L••left Dec 31, 2020, registered Nov 11, 2019 (-416 days) · Other
- A••••••••• F•••••••• S•••••••• L•• to B••• O•••• G••••• W•••••left Dec 6, 2013, registered Dec 23, 2013 (17 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
- 27derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address