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•••••• O••• S•••••••
- C••••••••• F•••••••• N•••••• national BD currentsince Jul 10, 2023 · Columbia, Md
- P•• W••••• M••••••••• BD affiliatedFeb 2, 2010 to Jul 10, 2023 · Solomons, Md
- A••••••••• F•••••••• S•••••••• L•• national BDSep 28, 2001 to Feb 4, 2010 · Columbia, Md
- P•• W••••• M••••••••• to C••••••••• F•••••••• N••••••left Jul 10, 2023, registered Jul 10, 2023 (0 days) · Affiliated broker-dealer or bank to another
- A••••••••• F•••••••• S•••••••• L•• to P•• W••••• M•••••••••left Feb 4, 2010, registered Feb 2, 2010 (-2 days) · Other
- W•••••• O••• S••••••• left P•• W••••• M••••••••• for C••••••••• F•••••••• N•••••• (registered 2023-07-10)Jul 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
- National broker-dealer RIAderived
- Years in industry
- 25derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address