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.
W••••• B•••• S•••••••
- E••••• J•••• national BD currentsince Jul 18, 2014 · Annapolis, Md
- R•••••• J•••• F•••••••• S••••••• A•••••••• I•• BD affiliatedAug 20, 2013 to Jun 25, 2014 · Columbia, Md
- S•••••• N••••••• • C••••••• I••••••••• national BDOct 4, 2010 to Oct 14, 2010 · Baltimore, Md
- C••••••••• I••••••••• L•• mixed wealthMar 15, 2006 to May 29, 2009 · New York, Ny
- L••• M•••• W••• W•••••• I••••••••• unclassifiedMay 2, 2001 to Dec 2, 2005 · Baltimore, Md
- R•••••• J•••• F•••••••• S••••••• A•••••••• I•• to E••••• J••••left Jun 25, 2014, registered Jul 18, 2014 (23 days) · Other
- S•••••• N••••••• • C••••••• I••••••••• to R•••••• J•••• F•••••••• S••••••• A•••••••• I••left Oct 14, 2010, registered Aug 20, 2013 (1041 days) · Other
- C••••••••• I••••••••• L•• to S•••••• N••••••• • C••••••• I•••••••••left May 29, 2009, registered Oct 4, 2010 (493 days) · Other
- L••• M•••• W••• W•••••• I••••••••• to C••••••••• I••••••••• L••left Dec 2, 2005, registered Mar 15, 2006 (103 days) · Other
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
- 25derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address