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•••• M•••••• C•••
- S••••• M••••••••• independent RIA currentsince Nov 1, 2024 · North Little Rock, Ar
- I• A••••••• S•••••••• I••• formerFeb 5, 2015 to Nov 4, 2024 · Waldorf, Md
- S••••• A••••••• I••• BD affiliatedJan 30, 2015 to Mar 2, 2015 · Birmingham, Al
- S••••• A••• I••••••••• A•••••• S•••••••• I••• formerSep 2, 2005 to Jan 30, 2015 · Waldorf, Md
- C•••••• I••••••••• A••••••• independent RIAOct 24, 2003 to Sep 9, 2005 · Waldorf, Md
- T••••••••• F•••••••• A•••••••• L•• BD affiliatedFeb 9, 2001 to Jul 16, 2003 · Waldorf, Md
- I• A••••••• S•••••••• I••• to S••••• M•••••••••left Nov 4, 2024, registered Nov 1, 2024 (-3 days) · Affiliated broker-dealer or bank to independent RIA · moved with a team
- S••••• A••••••• I••• to I• A••••••• S•••••••• I•••left Mar 2, 2015, registered Feb 5, 2015 (-25 days) · Other · moved with a team
- S••••• A••• I••••••••• A•••••• S•••••••• I••• to S••••• A••••••• I•••left Jan 30, 2015, registered Jan 30, 2015 (0 days) · corporate re-registration, not a move
- C•••••• I••••••••• A••••••• to S••••• A••• I••••••••• A•••••• S•••••••• I•••left Sep 9, 2005, registered Sep 2, 2005 (-7 days) · Other
- T••••••••• F•••••••• A•••••••• L•• to C•••••• I••••••••• A•••••••left Jul 16, 2003, registered Oct 24, 2003 (100 days) · Other
- J•••• M•••••• C••• left I• A••••••• S•••••••• I••• for S••••• M••••••••• (registered 2024-11-01)Nov 4, 2024 · a•••••• firm change · 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
- Independent wealth managerderived
- Years in industry
- 26derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address