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.
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L••••• W••••• D•••••
- W•••• F•••• A••••••• wirehouse currentsince Jul 12, 2023 · Bethesda, Md
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseJun 6, 2017 to Jul 14, 2023 · Ocean City, Md
- W•••• F•••• A••••••• wirehouseSep 17, 2010 to Jun 14, 2017 · Annapolis, Md
- B••• I••••••••• S•••••••• I••• formerDec 10, 2003 to Sep 17, 2010 · Easton, Md
- U•••• F•••••••• S••••••• G••••• I••• unclassifiedMar 13, 2003 to Oct 16, 2003 · Salisbury, Md
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to W•••• F•••• A•••••••left Jul 14, 2023, registered Jul 12, 2023 (-2 days) · Wirehouse to wirehouse
- W•••• F•••• A••••••• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••left Jun 14, 2017, registered Jun 6, 2017 (-8 days) · Wirehouse to wirehouse
- B••• I••••••••• S•••••••• I••• to W•••• F•••• A•••••••left Sep 17, 2010, registered Sep 17, 2010 (0 days) · Other
- U•••• F•••••••• S••••••• G••••• I••• to B••• I••••••••• S•••••••• I•••left Oct 16, 2003, registered Dec 10, 2003 (55 days) · Other
- L••••• W••••• D••••• left M•••••• L••••• P•••••• F••••• • S•••• I••••••••• for W•••• F•••• A••••••• (registered 2023-07-12)Jul 14, 2023 · 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
- Wirehousederived
- Years in industry
- 23derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address