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•••••• J•••• L••••••
- T••••• A••••••• S•••••••• I••• BD affiliated currentsince Sep 14, 2016 · Bethesda, Md
- E••••••• I••••••••• A•••••••• I••• independent RIASep 12, 2008 to Aug 7, 2009 · Bethesda, Md
- S••••••• I••••••••• S•••••••• I••• formerJan 16, 2004 to Sep 9, 2008 · Great Falls, Va
- U•• F•••••••• S••••••• I••• wirehouseAug 23, 2002 to Jan 14, 2004 · Washington, Dc
- E••••••• I••••••••• A•••••••• I••• to T••••• A••••••• S•••••••• I•••left Aug 7, 2009, registered Sep 14, 2016 (2595 days) · Other
- S••••••• I••••••••• S•••••••• I••• to E••••••• I••••••••• A•••••••• I•••left Sep 9, 2008, registered Sep 12, 2008 (3 days) · Other
- U•• F•••••••• S••••••• I••• to S••••••• I••••••••• S•••••••• I•••left Jan 14, 2004, registered Jan 16, 2004 (2 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