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.
L••• M••••• N••••
- K••••• A••••••• S•••••••• L•• BD affiliated currentsince Jan 16, 2018 · Timonium, Md
- K••••• F•••••••• G•••• I••• formerNov 21, 2015 to Aug 23, 2018 · Columbia, Md
- L•• F•••••••• L•• BD affiliatedMay 21, 2004 to Nov 19, 2015 · Columbia, Md
- A•••• M••••••••• C•••••••• I••• unclassifiedMar 22, 2002 to Mar 24, 2003 · York, Pa
- K••••• F•••••••• G•••• I••• to K••••• A••••••• S•••••••• L••left Aug 23, 2018, registered Jan 16, 2018 (-219 days) · Other
- L•• F•••••••• L•• to K••••• F•••••••• G•••• I•••left Nov 19, 2015, registered Nov 21, 2015 (2 days) · Other · moved with a team
- A•••• M••••••••• C•••••••• I••• to L•• F•••••••• L••left Mar 24, 2003, registered May 21, 2004 (424 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