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.
T•••••• W•••••• H••••••
- U••••• B•••••••• S••••••• I•• BD affiliated currentsince Mar 14, 2016 · Reston, Va
- M•• I•••••••• S•••••••• L•• BD affiliatedFeb 9, 2011 to Mar 22, 2016 · Fairfax, Va
- C••••••• W••••• M••••••••• I••• formerDec 6, 2010 to Feb 9, 2011 · Alexandria, Va
- L•• F•••••••• L•• BD affiliatedNov 30, 2004 to Dec 6, 2010 · Fairfax, Va
- M••••• S•••••• D• I••• unclassifiedAug 13, 2001 to Jun 10, 2004 · Washington, Dc
- M•• I•••••••• S•••••••• L•• to U••••• B•••••••• S••••••• I••left Mar 22, 2016, registered Mar 14, 2016 (-8 days) · Other
- C••••••• W••••• M••••••••• I••• to M•• I•••••••• S•••••••• L••left Feb 9, 2011, registered Feb 9, 2011 (0 days) · Other
- L•• F•••••••• L•• to C••••••• W••••• M••••••••• I•••left Dec 6, 2010, registered Dec 6, 2010 (0 days) · Other
- M••••• S•••••• D• I••• to L•• F•••••••• L••left Jun 10, 2004, registered Nov 30, 2004 (173 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