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.
S••••••• E• N•••••••
- W•••• F•••• A••••••• wirehouse currentsince Mar 3, 2023 · Largo, Md
- P•• W••••• M••••••••• BD affiliatedMar 18, 2019 to Mar 22, 2023 · Bowie, Md
- V•••• F•••••••• A•••••••• I••• BD affiliatedDec 8, 2017 to Mar 7, 2019 · Linthicum Heights, Md
- O•••• F•• I••• formerFeb 18, 2009 to Dec 17, 2017 · Bowie, Md
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseDec 3, 2007 to Dec 22, 2008 · Florham Park, Nj
- P•• W••••• M••••••••• to W•••• F•••• A•••••••left Mar 22, 2023, registered Mar 3, 2023 (-19 days) · Affiliated broker-dealer or bank to wirehouse
- V•••• F•••••••• A•••••••• I••• to P•• W••••• M•••••••••left Mar 7, 2019, registered Mar 18, 2019 (11 days) · Affiliated broker-dealer or bank to another
- O•••• F•• I••• to V•••• F•••••••• A•••••••• I•••left Dec 17, 2017, registered Dec 8, 2017 (-9 days) · Other
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to O•••• F•• I•••left Dec 22, 2008, registered Feb 18, 2009 (58 days) · Other
- S••••••• E• N••••••• left P•• W••••• M••••••••• for W•••• F•••• A••••••• (registered 2023-03-03)Mar 22, 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
- Wirehousederived
- Years in industry
- 18derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address