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.
- M••••• S•••••• wirehouse currentsince Jun 14, 2013 · Baltimore, Md
- A••••••••• F•••••••• S•••••••• L•• national BDOct 5, 2009 to Jul 2, 2013 · Hunt Valley, Md
- A••••••••• A•••••• S•••••••• I••• unclassifiedJul 8, 2003 to Oct 5, 2009 · Timonium, Md
- C•••••• L•• independent RIAJun 2, 2003 to Dec 2, 2003 · Lutherville, Md
- A••••••••• F•••••••• S•••••••• L•• to M••••• S••••••left Jul 2, 2013, registered Jun 14, 2013 (-18 days) · Affiliated broker-dealer or bank to wirehouse
- A••••••••• A•••••• S•••••••• I••• to A••••••••• F•••••••• S•••••••• L••left Oct 5, 2009, registered Oct 5, 2009 (0 days) · corporate re-registration, not a move
- C•••••• L•• to A••••••••• A•••••• S•••••••• I•••left Dec 2, 2003, registered Jul 8, 2003 (-147 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
- Wirehousederived
- Years in industry
- 26derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address