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.
A•••• C••••• P••••••
- B••••••••• W••••• A•••••••• L•• no RAUM currentsince Mar 29, 2022 · Wheaton, Il
- L•••••• I••••••••• independent RIASep 9, 2020 to Mar 25, 2022 · Elkton, Md
- C•••••• A••••••• BD affiliatedDec 13, 2019 to Mar 25, 2022 · Cape Coral, Fl
- C•••••• A••••••• to L•••••• I•••••••••left Mar 25, 2022, registered Sep 9, 2020 (-562 days) · Affiliated broker-dealer or bank to another
- L•••••• I••••••••• to B••••••••• W••••• A•••••••• L••left Mar 25, 2022, registered Mar 29, 2022 (4 days) · Affiliated broker-dealer or bank to independent RIA
- A•••• C••••• P•••••• left L•••••• I••••••••• for B••••••••• W••••• A•••••••• L•• (registered 2022-03-29)Mar 25, 2022 · Advisor changed firm · fact
- A•••• C••••• P•••••• left C•••••• A••••••• for L•••••• I••••••••• (registered 2020-09-09)Mar 25, 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
- No RAUM reportedderived
- Years in industry
- 23derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address