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.
D••••• J• F•••••••
- R•• C•••••• M••••••• L•• national BD currentsince Feb 20, 2020 · Baltimore, Md
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseJun 20, 2013 to Feb 24, 2020 · Baltimore, Md
- W•••• F•••• A••••••• wirehouseFeb 20, 2013 to Apr 5, 2013 · Columbia, Md
- W•••• F•••• A••••••• wirehouseFeb 20, 2009 to Jan 14, 2013 · Bel Air, Md
- C•••••••• G••••• M•••••• I••• BD affiliatedFeb 21, 2006 to Mar 11, 2009 · Lutherville, Md
- L••• M•••• W••• W•••••• I••••••••• unclassifiedOct 12, 2001 to Feb 21, 2006 · Belair, Md
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to R•• C•••••• M••••••• L••left Feb 24, 2020, registered Feb 20, 2020 (-4 days) · Wirehouse to affiliated broker-dealer or bank · moved with a team
- W•••• F•••• A••••••• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••left Apr 5, 2013, registered Jun 20, 2013 (76 days) · Wirehouse to wirehouse
- C•••••••• G••••• M•••••• I••• to W•••• F•••• A•••••••left Mar 11, 2009, registered Feb 20, 2009 (-19 days) · Other
- L••• M•••• W••• W•••••• I••••••••• to C•••••••• G••••• M•••••• I•••left Feb 21, 2006, registered Feb 21, 2006 (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
- National broker-dealer RIAderived
- Years in industry
- 24derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address