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.
M•••• L••••• A••••
- L•• F•••••••• L•• BD affiliated currentsince Mar 27, 2020 · Lutherville, Md
- W••••••• F•••••••• S•••••••• I••• formerMar 1, 2019 to Apr 2, 2020 · Lutherville, Md
- Q•••••• A•••• M••••••••• I••• formerMar 22, 2012 to Mar 1, 2019 · Minneapolis, Mn
- B•••••• F••••• • C•••••• F•••••••• S•••••••• I••• BD affiliatedJun 7, 2006 to Aug 24, 2009 · Monkton, Md
- L••••• A••••••• S•••••••• I••• unclassifiedSep 29, 2003 to Jun 5, 2006 · Lutherville, Md
- W••••••• F•••••••• S•••••••• I••• to L•• F•••••••• L••left Apr 2, 2020, registered Mar 27, 2020 (-6 days) · Affiliated broker-dealer or bank to another
- Q•••••• A•••• M••••••••• I••• to W••••••• F•••••••• S•••••••• I•••left Mar 1, 2019, registered Mar 1, 2019 (0 days) · corporate re-registration, not a move
- B•••••• F••••• • C•••••• F•••••••• S•••••••• I••• to Q•••••• A•••• M••••••••• I•••left Aug 24, 2009, registered Mar 22, 2012 (941 days) · Other
- L••••• A••••••• S•••••••• I••• to B•••••• F••••• • C•••••• F•••••••• S•••••••• I•••left Jun 5, 2006, registered Jun 7, 2006 (2 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
- 23derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address