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.
T••••• W••••• J•••••••
- M•••• • C••••• I•• BD affiliated currentsince Jul 28, 2021 · Alexandria, Va
- O••••••••• • C•• I••• BD affiliatedJan 21, 2015 to Jul 16, 2021 · Washington, Dc
- T• A••••••••• I••• formerAug 8, 2006 to Nov 24, 2014 · Washington, Dc
- T• A••••••••• I••••••••• M••••••••• L•• formerAug 7, 2006 to Nov 24, 2014 · Washington, Dc
- O••••••••• • C•• I••• to M•••• • C••••• I••left Jul 16, 2021, registered Jul 28, 2021 (12 days) · Affiliated broker-dealer or bank to another
- T• A••••••••• I••••••••• M••••••••• L•• to T• A••••••••• I•••left Nov 24, 2014, registered Aug 8, 2006 (-3030 days) · channel change inside one enterprise, not a move
- T• A••••••••• I••• to O••••••••• • C•• I•••left Nov 24, 2014, registered Jan 21, 2015 (58 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
- 23derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address