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.
L••• A•••••• M••••••
- T••••• A••••••• S•••••••• I••• BD affiliated currentsince Aug 18, 2016 · Potomac, Md
- H••• S••••••••• •••• I••• BD affiliatedJun 1, 2007 to Jan 12, 2015 · Washington, Dc
- S••••••• I••••••••• S•••••••• I••• formerFeb 10, 2004 to Feb 28, 2007 · Vienna, Va
- M••••• S•••••• D• I••• unclassifiedFeb 22, 2002 to Feb 3, 2004 · Chevy Chase, Md
- H••• S••••••••• •••• I••• to T••••• A••••••• S•••••••• I•••left Jan 12, 2015, registered Aug 18, 2016 (584 days) · Other
- S••••••• I••••••••• S•••••••• I••• to H••• S••••••••• •••• I•••left Feb 28, 2007, registered Jun 1, 2007 (93 days) · Other
- M••••• S•••••• D• I••• to S••••••• I••••••••• S•••••••• I•••left Feb 3, 2004, registered Feb 10, 2004 (7 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