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.
D•••• B•••••
- L•• F•••••••• L•• BD affiliated currentsince Jul 20, 2020 · Owings Mills, Md
- P•••• S••••••••• L•• no RAUMOct 5, 2017 to Jul 24, 2020 · Owings Mills, Md
- M•• S••••••••• I••• unclassifiedFeb 3, 2017 to Oct 17, 2017 · Baltimore, Md
- M•• F•••••••• S•••••••• I••• formerOct 4, 2013 to Jan 26, 2017 · Baltimore, Md
- P•••• S••••••••• L•• to L•• F•••••••• L••left Jul 24, 2020, registered Jul 20, 2020 (-4 days) · Affiliated broker-dealer or bank to another · moved with a team
- M•• S••••••••• I••• to P•••• S••••••••• L••left Oct 17, 2017, registered Oct 5, 2017 (-12 days) · Other · moved with a team
- M•• F•••••••• S•••••••• I••• to M•• S••••••••• I•••left Jan 26, 2017, registered Feb 3, 2017 (8 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