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.
R•••• R••• K••••
- L•• E••••••••• L•• BD affiliated currentsince Nov 14, 2024 · Valparaiso, In
- P•••• S••••••••• L•• no RAUMDec 10, 2019 to Nov 14, 2024 · Hunt Valley, Md
- E•••• S••••••••• L•• BD affiliatedNov 20, 2009 to Dec 17, 2019 · Arnold, Md
- B••• O• A•••••• I••••••••• S•••••••• I••• unclassifiedMar 16, 2007 to Sep 28, 2009 · Annapolis, Md
- W•••• F•••• A••••••• wirehouseNov 20, 2006 to Mar 19, 2007 · Columbia, Md
- S••••• F•••••••• G•••• I•• formerAug 18, 2005 to Nov 3, 2006 · Lewis Center, Oh
- M••••• S•••••• D• I••• unclassifiedJan 24, 2002 to Feb 9, 2005 · Dublin, Oh
- P•••• S••••••••• L•• to L•• E••••••••• L••left Nov 14, 2024, registered Nov 14, 2024 (0 days) · corporate re-registration, not a move
- E•••• S••••••••• L•• to P•••• S••••••••• L••left Dec 17, 2019, registered Dec 10, 2019 (-7 days) · Affiliated broker-dealer or bank to another
- B••• O• A•••••• I••••••••• S•••••••• I••• to E•••• S••••••••• L••left Sep 28, 2009, registered Nov 20, 2009 (53 days) · Other
- W•••• F•••• A••••••• to B••• O• A•••••• I••••••••• S•••••••• I•••left Mar 19, 2007, registered Mar 16, 2007 (-3 days) · Other
- S••••• F•••••••• G•••• I•• to W•••• F•••• A•••••••left Nov 3, 2006, registered Nov 20, 2006 (17 days) · Other
- M••••• S•••••• D• I••• to S••••• F•••••••• G•••• I••left Feb 9, 2005, registered Aug 18, 2005 (190 days) · Other
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