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.
S••••• P••• J•••••••••
- M••••• S•••••• wirehouse currentsince May 16, 2022 · Baltimore, Md
- A••••• A•• P••••••• S••••••• BD affiliatedJan 24, 2012 to Apr 18, 2022 · Baltimore, Md
- M••••• S•••••• wirehouseJun 1, 2009 to Jun 16, 2010 · Baltimore, Md
- C•••••••• G••••• M•••••• I••• BD affiliatedFeb 21, 2006 to Jun 1, 2009 · Baltimore, Md
- L••• M•••• W••• W•••••• I••••••••• unclassifiedAug 5, 2003 to Feb 21, 2006 · Baltimore, Md
- A••••• A•• P••••••• S••••••• to M••••• S••••••left Apr 18, 2022, registered May 16, 2022 (28 days) · Affiliated broker-dealer or bank to wirehouse
- M••••• S•••••• to A••••• A•• P••••••• S•••••••left Jun 16, 2010, registered Jan 24, 2012 (587 days) · Other
- C•••••••• G••••• M•••••• I••• to M••••• S••••••left Jun 1, 2009, registered Jun 1, 2009 (0 days) · corporate re-registration, not a move
- L••• M•••• W••• W•••••• I••••••••• to C•••••••• G••••• M•••••• I•••left Feb 21, 2006, registered Feb 21, 2006 (0 days) · corporate re-registration, not a move
- S••••• P••• J••••••••• left A••••• A•• P••••••• S••••••• for M••••• S•••••• (registered 2022-05-16)Apr 18, 2022 · 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
- Wirehousederived
- Years in industry
- 23derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address