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.
R••• D••• B•••
- O• I••••••••• M••••••••• C• BD affiliated currentsince Jul 30, 2018 · Washington Street, Md
- I••••••••• P••••••••• I••• formerMar 14, 2016 to Jul 31, 2018 · Leesburg, Va
- M•• I•••••••• S•••••••• L•• BD affiliatedMay 21, 2002 to Apr 10, 2008 · Fairfax, Va
- I••••••••• P••••••••• I••• to O• I••••••••• M••••••••• C•left Jul 31, 2018, registered Jul 30, 2018 (-1 days) · Affiliated broker-dealer or bank to another
- M•• I•••••••• S•••••••• L•• to I••••••••• P••••••••• I•••left Apr 10, 2008, registered Mar 14, 2016 (2895 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
- 24derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address