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.
N••••••• C•••••• E•
- C••••• I••••••••• A••••••• L•• BD affiliated currentsince Feb 18, 2022 · Hunt Valley, Md
- T••••• A••••••• S•••••••• I••• BD affiliatedFeb 17, 2021 to Feb 22, 2022 · Atlanta, Ga
- B••• S••••••••• L•• formerOct 12, 2018 to Feb 17, 2021 · Charlotte, Nc
- C••••• I••••••••• A••••••• L•• BD affiliatedMay 16, 2016 to Aug 15, 2018 · Baltimore, Md
- P•• W••••• M••••••••• BD affiliatedFeb 6, 2013 to Jun 16, 2014 · Bel Air, Md
- C••••••• I••••••••• S••••••• unclassifiedDec 8, 2006 to Apr 16, 2007 · Timonium, Md
- M•• S••••••••• I••• unclassifiedJun 17, 2003 to Nov 30, 2006 · Timonium, Md
- W••••••••• T•••• I••••••••• A•••••••• I••• otherMar 28, 2003 to Aug 2, 2006 · Baltimore, Md
- T••••• A••••••• S•••••••• I••• to C••••• I••••••••• A••••••• L••left Feb 22, 2022, registered Feb 18, 2022 (-4 days) · Affiliated broker-dealer or bank to another
- B••• S••••••••• L•• to T••••• A••••••• S•••••••• I•••left Feb 17, 2021, registered Feb 17, 2021 (0 days) · corporate re-registration, not a move
- C••••• I••••••••• A••••••• L•• to B••• S••••••••• L••left Aug 15, 2018, registered Oct 12, 2018 (58 days) · Affiliated broker-dealer or bank to another
- P•• W••••• M••••••••• to C••••• I••••••••• A••••••• L••left Jun 16, 2014, registered May 16, 2016 (700 days) · Other
- C••••••• I••••••••• S••••••• to P•• W••••• M•••••••••left Apr 16, 2007, registered Feb 6, 2013 (2123 days) · Other
- M•• S••••••••• I••• to C••••••• I••••••••• S•••••••left Nov 30, 2006, registered Dec 8, 2006 (8 days) · Other
- W••••••••• T•••• I••••••••• A•••••••• I••• to M•• S••••••••• I•••left Aug 2, 2006, registered Jun 17, 2003 (-1142 days) · Other
- N••••••• C•••••• E• left T••••• A••••••• S•••••••• I••• for C••••• I••••••••• A••••••• L•• (registered 2022-02-18)Feb 22, 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
- Broker-dealer affiliated wealth managerderived
- Years in industry
- 26derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address