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.
F•••• M••• L•••••
- C•••••••• G••••• M•••••• I••• BD affiliated currentsince Jan 6, 2016 · Rockville, Md
- S••••••• I••••••••• S•••••••• I••• formerOct 2, 2009 to Dec 23, 2015 · Dunkirk, Md
- P•• W••••• M••••••••• BD affiliatedNov 7, 2008 to Oct 2, 2009 · Indian Head, Md
- S••••••• I••••••••• S•••••••• I••• formerMay 1, 2007 to Nov 5, 2008 · Bowie, Md
- S••••••• I••••••••• S•••••••• I••• formerMar 3, 2004 to Feb 7, 2007 · Upper Marlboro, Md
- U•• F•••••••• S••••••• I••• wirehouseMar 8, 2002 to Jan 14, 2003 · Largo, Md
- S••••••• I••••••••• S•••••••• I••• to C•••••••• G••••• M•••••• I•••left Dec 23, 2015, registered Jan 6, 2016 (14 days) · Other
- P•• W••••• M••••••••• to S••••••• I••••••••• S•••••••• I•••left Oct 2, 2009, registered Oct 2, 2009 (0 days) · Other
- S••••••• I••••••••• S•••••••• I••• to P•• W••••• M•••••••••left Nov 5, 2008, registered Nov 7, 2008 (2 days) · Other
- U•• F•••••••• S••••••• I••• to S••••••• I••••••••• S•••••••• I•••left Jan 14, 2003, registered Mar 3, 2004 (414 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