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.
E•••••••• A•••• B••••
- C••••• I••••••••• A••••••• L•• BD affiliated currentsince Jun 29, 2023 · Baltimore, Md
- W•••••••• A••••••• I•• formerMar 18, 2020 to Jul 1, 2020 · Lancaster, Pa
- T••••• A••••••• S•••••••• I••• BD affiliatedMar 19, 2019 to Nov 19, 2019 · Baltimore, Md
- B••• S••••••••• L•• formerJan 2, 2018 to Dec 31, 2018 · Charlotte, Nc
- B••• I••••••••• S•••••••• I••• formerJan 26, 2009 to Jan 2, 2018 · Charlotte, Nc
- B••• I••••••••• S•••••••• I••• formerJun 25, 2004 to Dec 31, 2008 · Baltimore, Md
- W•••••••• A••••••• I•• to C••••• I••••••••• A••••••• L••left Jul 1, 2020, registered Jun 29, 2023 (1093 days) · RIA to affiliated broker-dealer or bank
- T••••• A••••••• S•••••••• I••• to W•••••••• A••••••• I••left Nov 19, 2019, registered Mar 18, 2020 (120 days) · Affiliated broker-dealer or bank to independent RIA
- B••• S••••••••• L•• to T••••• A••••••• S•••••••• I•••left Dec 31, 2018, registered Mar 19, 2019 (78 days) · Affiliated broker-dealer or bank to another
- B••• I••••••••• S•••••••• I••• to B••• S••••••••• L••left Jan 2, 2018, registered Jan 2, 2018 (0 days) · corporate re-registration, not a move
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