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.
A••••• S••••••
- L•• F•••••••• L•• BD affiliated currentsince Oct 4, 2023 · Rockville, Md
- T••••• A••••••• S•••••••• I••• BD affiliatedMay 17, 2021 to Oct 10, 2023 · Bethesda, Md
- W•••• F•••• A••••••• wirehouseJan 16, 2018 to May 5, 2021 · Minneapolis, Mn
- L•• F•••••••• L•• BD affiliatedApr 28, 2014 to Jan 14, 2016 · Rockville, Md
- P•• W••••• M••••••••• BD affiliatedMar 8, 2012 to Oct 24, 2013 · Bethesda, Md
- P•• W••••• M••••••••• BD affiliatedFeb 13, 2009 to Jul 19, 2010 · Bethesda, Md
- U•• F•••••••• S••••••• I••• wirehouseOct 27, 2006 to Feb 24, 2009 · Rockville, Md
- C•••••••• G••••• M•••••• I••• BD affiliatedNov 12, 2004 to Nov 9, 2006 · Bethesda, Md
- U•• F•••••••• S••••••• I••• wirehouseJul 17, 2001 to Nov 26, 2004 · Rockville, Md
- T••••• A••••••• S•••••••• I••• to L•• F•••••••• L••left Oct 10, 2023, registered Oct 4, 2023 (-6 days) · Affiliated broker-dealer or bank to another
- W•••• F•••• A••••••• to T••••• A••••••• S•••••••• I•••left May 5, 2021, registered May 17, 2021 (12 days) · Wirehouse to affiliated broker-dealer or bank · moved with a team
- L•• F•••••••• L•• to W•••• F•••• A•••••••left Jan 14, 2016, registered Jan 16, 2018 (733 days) · Other
- P•• W••••• M••••••••• to L•• F•••••••• L••left Oct 24, 2013, registered Apr 28, 2014 (186 days) · Other
- U•• F•••••••• S••••••• I••• to P•• W••••• M•••••••••left Feb 24, 2009, registered Feb 13, 2009 (-11 days) · Other
- C•••••••• G••••• M•••••• I••• to U•• F•••••••• S••••••• I•••left Nov 9, 2006, registered Oct 27, 2006 (-13 days) · Other
- U•• F•••••••• S••••••• I••• to C•••••••• G••••• M•••••• I•••left Nov 26, 2004, registered Nov 12, 2004 (-14 days) · Other
- A••••• S•••••• left T••••• A••••••• S•••••••• I••• for L•• F•••••••• L•• (registered 2023-10-04)Oct 10, 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
- 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