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•••••• T••• A•••••
- O••••••••• L•• state registered currentsince Jun 7, 2023 · Hunt Valley, Md
- A••••••• A••••••• S•••••••• L•• BD affiliatedNov 1, 2021 to Jun 21, 2022 · Baltimore, Md
- A••••••• A••••••• S••••••• formerMay 20, 2009 to Nov 1, 2021 · Lincoln, Ne
- N••••••••• S••••••••• L•• no RAUMAug 1, 2008 to May 14, 2009 · Little Rock, Ar
- 1••• C•••••• M••••••••• C•••••• unclassifiedNov 10, 2006 to Aug 1, 2008 · Little Rock, Ar
- C••••• I••••••••• A••••••• L•• BD affiliatedJul 18, 2002 to Oct 10, 2006 · Baltimore, Md
- A••••••• A••••••• S•••••••• L•• to O••••••••• L••left Jun 21, 2022, registered Jun 7, 2023 (351 days) · Affiliated broker-dealer or bank to a state-registered adviser
- A••••••• A••••••• S••••••• to A••••••• A••••••• S•••••••• L••left Nov 1, 2021, registered Nov 1, 2021 (0 days) · corporate re-registration, not a move
- N••••••••• S••••••••• L•• to A••••••• A••••••• S•••••••left May 14, 2009, registered May 20, 2009 (6 days) · Other
- 1••• C•••••• M••••••••• C•••••• to N••••••••• S••••••••• L••left Aug 1, 2008, registered Aug 1, 2008 (0 days) · corporate re-registration, not a move
- C••••• I••••••••• A••••••• L•• to 1••• C•••••• M••••••••• C••••••left Oct 10, 2006, registered Nov 10, 2006 (31 days) · Other
- N•••••• T••• A••••• left A••••••• A••••••• S•••••••• L•• for O••••••••• L•• (registered 2023-06-07)Jun 21, 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
- STATE REGISTEREDderived
- Years in industry
- 26derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address