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.
M••• C•••• C•••••••••
- B••••••• L•• mixed wealth currentsince Sep 8, 2021 · Castellon De La Plana
- W••••• P••••••• G•••• independent RIAOct 24, 2018 to Sep 8, 2021 · Baltimore, Md
- C•••••••• I••••••••• R••••••• A•••••••• I••• BD affiliatedJan 5, 2017 to Nov 5, 2018 · Baltimore, Md
- H• B•••• I••• formerOct 15, 2015 to Nov 4, 2016 · Frederick, Md
- W••••• P••••••• G•••• to B••••••• L••left Sep 8, 2021, registered Sep 8, 2021 (0 days) · Other
- C•••••••• I••••••••• R••••••• A•••••••• I••• to W••••• P••••••• G••••left Nov 5, 2018, registered Oct 24, 2018 (-12 days) · Affiliated broker-dealer or bank to a newly registered adviser · moved with a team
- H• B•••• I••• to C•••••••• I••••••••• R••••••• A•••••••• I•••left Nov 4, 2016, registered Jan 5, 2017 (62 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
- Wealth manager with institutional or fund businessderived
- Years in industry
- 18derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address