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.
H•••• L•••••••
- S•••••••• A••••••• L•• national BD currentsince Mar 31, 2025 · Catonsville, Md
- F••••••• P••••••• A•• W•••••••• A••••••• formerDec 14, 2022 to Mar 31, 2025 · Catonsville, Md
- P•• W••••• M••••••••• BD affiliatedJul 12, 2021 to Oct 31, 2022 · Bel Air, Md
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseDec 11, 2017 to Jul 6, 2021 · Hunt Valley, Md
- M•• I•••••••• S•••••••• L•• BD affiliatedMar 25, 2017 to Oct 16, 2017 · Elkridge, Md
- M•• F•••••••• S•••••••• I••• formerApr 15, 2015 to Mar 25, 2017 · Elkridge, Md
- A••••• A•• P••••••• S••••••• BD affiliatedMar 14, 2012 to Jan 15, 2015 · Charlotte, Nc
- F••••••• P••••••• A•• W•••••••• A••••••• to S•••••••• A••••••• L••left Mar 31, 2025, registered Mar 31, 2025 (0 days) · corporate re-registration, not a move
- P•• W••••• M••••••••• to F••••••• P••••••• A•• W•••••••• A•••••••left Oct 31, 2022, registered Dec 14, 2022 (44 days) · Affiliated broker-dealer or bank to another
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to P•• W••••• M•••••••••left Jul 6, 2021, registered Jul 12, 2021 (6 days) · Wirehouse to affiliated broker-dealer or bank
- M•• I•••••••• S•••••••• L•• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••left Oct 16, 2017, registered Dec 11, 2017 (56 days) · Other
- M•• F•••••••• S•••••••• I••• to M•• I•••••••• S•••••••• L••left Mar 25, 2017, registered Mar 25, 2017 (0 days) · corporate re-registration, not a move
- A••••• A•• P••••••• S••••••• to M•• F•••••••• S•••••••• I•••left Jan 15, 2015, registered Apr 15, 2015 (90 days) · Other
- H•••• L••••••• left P•• W••••• M••••••••• for F••••••• P••••••• A•• W•••••••• A••••••• (registered 2022-12-14)Oct 31, 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
- National broker-dealer RIAderived
- Years in industry
- 26derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address