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.
E••• S•••• F•••••••••
- A••••••••• F•••••••• S•••••••• L•• national BD currentsince Oct 16, 2023 · Gaithersburg, Md
- K•••••••• W••••• A•••••••• L•• BD affiliatedOct 18, 2017 to Nov 3, 2023 · Rockville, Md
- H• B•••• I••• formerSep 4, 2009 to Oct 17, 2017 · Bethesda, Md
- T• A••••••••• I••••••••• M••••••••• L•• formerApr 25, 2006 to Apr 8, 2009 · Bethesda, Md
- T• A••••••••• I••• formerOct 29, 2004 to Apr 8, 2009 · Bethesda, Md
- M••••• S•••••• D• I••• unclassifiedMay 30, 2002 to Jun 23, 2004 · Washington, Dc
- K•••••••• W••••• A•••••••• L•• to A••••••••• F•••••••• S•••••••• L••left Nov 3, 2023, registered Oct 16, 2023 (-18 days) · Affiliated broker-dealer or bank to another · moved with a team
- H• B•••• I••• to K•••••••• W••••• A•••••••• L••left Oct 17, 2017, registered Oct 18, 2017 (1 days) · Other · moved with a team
- T• A••••••••• I••••••••• M••••••••• L•• to H• B•••• I•••left Apr 8, 2009, registered Sep 4, 2009 (149 days) · Other
- T• A••••••••• I••• to T• A••••••••• I••••••••• M••••••••• L••left Apr 8, 2009, registered Apr 25, 2006 (-1079 days) · channel change inside one enterprise, not a move
- M••••• S•••••• D• I••• to T• A••••••••• I•••left Jun 23, 2004, registered Oct 29, 2004 (128 days) · Other
- E••• S•••• F••••••••• left K•••••••• W••••• A•••••••• L•• for A••••••••• F•••••••• S•••••••• L•• (registered 2023-10-16)Nov 3, 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
- 24derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address