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.
D••••• W••• S••••••••
- R••••••••• C•••••• M••••••••• BD affiliated currentsince Oct 6, 2023 · Florham Park, Nj
- J••••• M••••••••• S•••• L•• BD affiliatedSep 16, 2009 to Oct 9, 2023 · Mount Airy, Nc
- M••••• S•••••• wirehouseJun 1, 2009 to Sep 16, 2009 · Washington, Dc
- C•••••••• G••••• M•••••• I••• BD affiliatedFeb 21, 2006 to Jun 1, 2009 · Washington, Dc
- L••• M•••• W••• W•••••• I••••••••• unclassifiedJul 16, 2003 to Feb 21, 2006 · Washington, Dc
- J••••• M••••••••• S•••• L•• to R••••••••• C•••••• M•••••••••left Oct 9, 2023, registered Oct 6, 2023 (-3 days) · Affiliated broker-dealer or bank to another
- M••••• S•••••• to J••••• M••••••••• S•••• L••left Sep 16, 2009, registered Sep 16, 2009 (0 days) · Other
- C•••••••• G••••• M•••••• I••• to M••••• S••••••left Jun 1, 2009, registered Jun 1, 2009 (0 days) · corporate re-registration, not a move
- L••• M•••• W••• W•••••• I••••••••• to C•••••••• G••••• M•••••• I•••left Feb 21, 2006, registered Feb 21, 2006 (0 days) · corporate re-registration, not a move
- D••••• W••• S•••••••• left J••••• M••••••••• S•••• L•• for R••••••••• C•••••• M••••••••• (registered 2023-10-06)Oct 9, 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
- Broker-dealer affiliated wealth managerderived
- Years in industry
- 23derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address