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.
W••••• D•••••• T•••
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouse currentsince Nov 14, 2022 · Columbia, Md
- T• P•••••• C••••• W••••• L•• BD affiliatedOct 31, 2013 to Nov 28, 2022 · Vienna, Va
- P•• W••••• M••••••••• BD affiliatedJan 9, 2012 to Oct 24, 2013 · Columbus, Oh
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseOct 23, 2009 to Apr 1, 2011 · Washington, Dc
- B••• O• A•••••• I••••••••• S•••••••• I••• unclassifiedSep 3, 2002 to Oct 23, 2009 · Greenbelt, Md
- T• P•••••• C••••• W••••• L•• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••left Nov 28, 2022, registered Nov 14, 2022 (-14 days) · Affiliated broker-dealer or bank to wirehouse
- P•• W••••• M••••••••• to T• P•••••• C••••• W••••• L••left Oct 24, 2013, registered Oct 31, 2013 (7 days) · Other
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to P•• W••••• M•••••••••left Apr 1, 2011, registered Jan 9, 2012 (283 days) · Other
- B••• O• A•••••• I••••••••• S•••••••• I••• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••left Oct 23, 2009, registered Oct 23, 2009 (0 days) · corporate re-registration, not a move
- W••••• D•••••• T••• left T• P•••••• C••••• W••••• L•• for M•••••• L••••• P•••••• F••••• • S•••• I••••••••• (registered 2022-11-14)Nov 28, 2022 · 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
- 25derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address