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.
J••••• R•••
- L•• F•••••••• L•• BD affiliated currentsince Sep 9, 2022 · Churchville, Md
- S•••••• P••••••• I••••••••• A•••••••• L•• BD affiliatedDec 13, 2021 to Aug 12, 2022 · Baltimore, Md
- W•••• F•••• A••••••• wirehouseJan 3, 2011 to Dec 15, 2021 · Charlotte, Nc
- B••• I••••••••• S•••••••• I••• formerFeb 17, 2010 to Dec 17, 2010 · Owings Mills, Md
- B••• O• A•••••• I••••••••• S•••••••• I••• unclassifiedApr 16, 2003 to Feb 9, 2009 · Charlotte, Nc
- M••••• S•••••• D• I••• unclassifiedFeb 28, 2000 to Mar 24, 2003 · Baltimore, Md
- S•••••• P••••••• I••••••••• A•••••••• L•• to L•• F•••••••• L••left Aug 12, 2022, registered Sep 9, 2022 (28 days) · Affiliated broker-dealer or bank to independent RIA
- W•••• F•••• A••••••• to S•••••• P••••••• I••••••••• A•••••••• L••left Dec 15, 2021, registered Dec 13, 2021 (-2 days) · Wirehouse to affiliated broker-dealer or bank
- B••• I••••••••• S•••••••• I••• to W•••• F•••• A•••••••left Dec 17, 2010, registered Jan 3, 2011 (17 days) · Other
- B••• O• A•••••• I••••••••• S•••••••• I••• to B••• I••••••••• S•••••••• I•••left Feb 9, 2009, registered Feb 17, 2010 (373 days) · Other
- M••••• S•••••• D• I••• to B••• O• A•••••• I••••••••• S•••••••• I•••left Mar 24, 2003, registered Apr 16, 2003 (23 days) · Other
- J••••• R••• left S•••••• P••••••• I••••••••• A•••••••• L•• for L•• F•••••••• L•• (registered 2022-09-09)Aug 12, 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