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.
S•••• L••• C•••••••
- L•• F•••••••• L•• BD affiliated currentsince Jan 9, 2025 · Easton, Md
- P•• W••••• M••••••••• BD affiliatedMay 2, 2019 to Jan 10, 2025 · Denton, Md
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseJul 27, 2016 to May 9, 2017 · Easton, Md
- Q•••••• A•••• M••••••••• I••• formerNov 5, 2015 to Jan 19, 2016 · Ridgely, Md
- B••• I••••••••• S•••••••• I••• formerNov 27, 2012 to Jun 19, 2014 · Greensboro, Md
- C•••••• S••••• • C••• I••• national BDApr 18, 2002 to Dec 17, 2010 · Annapolis, Md
- P•• W••••• M••••••••• to L•• F•••••••• L••left Jan 10, 2025, registered Jan 9, 2025 (-1 days) · Affiliated broker-dealer or bank to another
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to P•• W••••• M•••••••••left May 9, 2017, registered May 2, 2019 (723 days) · Wirehouse to affiliated broker-dealer or bank
- Q•••••• A•••• M••••••••• I••• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••left Jan 19, 2016, registered Jul 27, 2016 (190 days) · Other
- B••• I••••••••• S•••••••• I••• to Q•••••• A•••• M••••••••• I•••left Jun 19, 2014, registered Nov 5, 2015 (504 days) · Other
- C•••••• S••••• • C••• I••• to B••• I••••••••• S•••••••• I•••left Dec 17, 2010, registered Nov 27, 2012 (711 days) · Affiliated broker-dealer or bank to a newly registered adviser
- S•••• L••• C••••••• left P•• W••••• M••••••••• for L•• F•••••••• L•• (registered 2025-01-09)Jan 10, 2025 · 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