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••••• K•••• W•••
- A•••• W••••• M••••••••• L•• state registered currentsince Sep 10, 2021 · Miami Beach, Fl
- B•• S••••••••• I••• independent RIASep 14, 2012 to Jul 1, 2021 · Washington, Dc
- L•• F•••••••• L•• BD affiliatedDec 17, 2010 to Sep 5, 2012 · Washington, Dc
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseAug 16, 2002 to Dec 7, 2010 · Washington, Dc
- U•• F•••••••• S••••••• I••• wirehouseMay 4, 2000 to Aug 28, 2002 · Bethesda, Md
- B•• S••••••••• I••• to A•••• W••••• M••••••••• L••left Jul 1, 2021, registered Sep 10, 2021 (71 days) · Affiliated broker-dealer or bank to a state-registered adviser
- L•• F•••••••• L•• to B•• S••••••••• I•••left Sep 5, 2012, registered Sep 14, 2012 (9 days) · Other
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to L•• F•••••••• L••left Dec 7, 2010, registered Dec 17, 2010 (10 days) · Other
- U•• F•••••••• S••••••• I••• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••left Aug 28, 2002, registered Aug 16, 2002 (-12 days) · Wirehouse to wirehouse
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
- STATE REGISTEREDderived
- Years in industry
- 26derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address