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.
- E••••• J•••• national BD currentsince Jul 5, 2024 · Martinsburg, Wv
- R•• C•••••• M••••••• L•• national BDJul 12, 2021 to Jul 17, 2024 · Hagerstown, Md
- P•••• S••••••••• L•• no RAUMMay 22, 2019 to Jul 23, 2021 · Hunt Valley, Md
- E• R•••• I••••••••• L•• formerAug 3, 2018 to Apr 18, 2019 · Seattle, Wa
- P•• W••••• M••••••••• BD affiliatedAug 4, 2011 to Aug 10, 2018 · Cumberland, Md
- B••• I••••••••• S•••••••• I••• formerJun 12, 2002 to Jul 11, 2011 · Keyser, Wv
- R•• C•••••• M••••••• L•• to E••••• J••••left Jul 17, 2024, registered Jul 5, 2024 (-12 days) · Affiliated broker-dealer or bank to another
- P•••• S••••••••• L•• to R•• C•••••• M••••••• L••left Jul 23, 2021, registered Jul 12, 2021 (-11 days) · Affiliated broker-dealer or bank to another
- E• R•••• I••••••••• L•• to P•••• S••••••••• L••left Apr 18, 2019, registered May 22, 2019 (34 days) · RIA to affiliated broker-dealer or bank
- P•• W••••• M••••••••• to E• R•••• I••••••••• L••left Aug 10, 2018, registered Aug 3, 2018 (-7 days) · Affiliated broker-dealer or bank to independent RIA
- B••• I••••••••• S•••••••• I••• to P•• W••••• M•••••••••left Jul 11, 2011, registered Aug 4, 2011 (24 days) · Other
- R••••• T••••• left R•• C•••••• M••••••• L•• for E••••• J•••• (registered 2024-07-05)Jul 17, 2024 · 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
- National broker-dealer RIAderived
- Years in industry
- 26derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address