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.
K•• T••••• S•••••••
- A••••• A•• P••••••• S••••••• BD affiliated currentsince Jan 13, 2022 · Fairfax, Va
- T••••• A••••••• S•••••••• I••• BD affiliatedFeb 17, 2021 to Jul 1, 2021 · Atlanta, Ga
- B••• S••••••••• L•• formerJan 2, 2018 to Feb 17, 2021 · Cumberland, Md
- B••• I••••••••• S•••••••• I••• formerNov 4, 2015 to Jan 2, 2018 · Charlotte, Nc
- C••••• I••••••••• A••••••• L•• BD affiliatedJan 21, 2014 to Nov 3, 2015 · Hagerstown, Md
- C••••• I••••••••• S••••••• L•• formerAug 23, 2011 to Jan 21, 2014 · Hagerstown, Md
- L•• F•••••••• L•• BD affiliatedOct 9, 2007 to Jul 21, 2011 · Annapolis, Md
- U•••• F•••••••• S••••••• G••••• I••• unclassifiedAug 16, 2005 to Oct 9, 2007 · Montgomery Village, Md
- B••• I••••••••• S•••••••• I••• formerMay 12, 2004 to Dec 8, 2004 · Charlotte, Nc
- M••••• S•••••• D• I••• unclassifiedMay 28, 2002 to Oct 1, 2003 · Frederick, Md
- T••••• A••••••• S•••••••• I••• to A••••• A•• P••••••• S•••••••left Jul 1, 2021, registered Jan 13, 2022 (196 days) · Affiliated broker-dealer or bank to another
- B••• S••••••••• L•• to T••••• A••••••• S•••••••• I•••left Feb 17, 2021, registered Feb 17, 2021 (0 days) · corporate re-registration, not a move
- B••• I••••••••• S•••••••• I••• to B••• S••••••••• L••left Jan 2, 2018, registered Jan 2, 2018 (0 days) · corporate re-registration, not a move
- C••••• I••••••••• A••••••• L•• to B••• I••••••••• S•••••••• I•••left Nov 3, 2015, registered Nov 4, 2015 (1 days) · Other · moved with a team
- C••••• I••••••••• S••••••• L•• to C••••• I••••••••• A••••••• L••left Jan 21, 2014, registered Jan 21, 2014 (0 days) · corporate re-registration, not a move
- L•• F•••••••• L•• to C••••• I••••••••• S••••••• L••left Jul 21, 2011, registered Aug 23, 2011 (33 days) · Other
- U•••• F•••••••• S••••••• G••••• I••• to L•• F•••••••• L••left Oct 9, 2007, registered Oct 9, 2007 (0 days) · Other
- B••• I••••••••• S•••••••• I••• to U•••• F•••••••• S••••••• G••••• I•••left Dec 8, 2004, registered Aug 16, 2005 (251 days) · Other
- M••••• S•••••• D• I••• to B••• I••••••••• S•••••••• I•••left Oct 1, 2003, registered May 12, 2004 (224 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