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.
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- R•••••• J•••• F•••••••• S••••••• A•••••••• I•• BD affiliated currentsince Oct 11, 2023 · Hunt Valley, Md
- J••••• M••••••••• S•••• L•• BD affiliatedJun 23, 2016 to Oct 12, 2023 · Lutherville (Greenspring), Md
- W•••• F•••• A••••••• wirehouseFeb 4, 2011 to Jun 28, 2016 · Baltimore, Md
- M••••• S•••••• wirehouseJun 1, 2009 to Feb 23, 2011 · Lutherville, Md
- C•••••••• G••••• M•••••• I••• BD affiliatedAug 4, 2008 to Jun 1, 2009 · Lutherville, Md
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseNov 27, 2000 to Jun 15, 2004 · Hudson, Oh
- J••••• M••••••••• S•••• L•• to R•••••• J•••• F•••••••• S••••••• A•••••••• I••left Oct 12, 2023, registered Oct 11, 2023 (-1 days) · Affiliated broker-dealer or bank to another · moved with a team
- W•••• F•••• A••••••• to J••••• M••••••••• S•••• L••left Jun 28, 2016, registered Jun 23, 2016 (-5 days) · Other · moved with a team
- M••••• S•••••• to W•••• F•••• A•••••••left Feb 23, 2011, registered Feb 4, 2011 (-19 days) · Wirehouse to wirehouse
- C•••••••• G••••• M•••••• I••• to M••••• S••••••left Jun 1, 2009, registered Jun 1, 2009 (0 days) · corporate re-registration, not a move
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to C•••••••• G••••• M•••••• I•••left Jun 15, 2004, registered Aug 4, 2008 (1511 days) · Other
- K•••••••• D••••• left J••••• M••••••••• S•••• L•• for R•••••• J•••• F•••••••• S••••••• A•••••••• I•• (registered 2023-10-11)Oct 12, 2023 · 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
- 25derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address