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.
C••••••••• M••• R••••
- U•• F•••••••• S••••••• I••• wirehouse currentsince Jan 13, 2025 · Washington, Dc
- F•• S••••••••• C••••••••• formerFeb 3, 2009 to Mar 26, 2009 · Kensington, Md
- D•••• F•••••••• A•••••••• I•• independent RIANov 24, 2008 to Jul 31, 2009 · Kensington, Md
- S••••••• I••••••••• S•••••••• I••• formerJul 7, 2006 to Oct 6, 2008 · Washington, Dc
- B••• O• A•••••• I••••••••• S•••••••• I••• unclassifiedSep 2, 2004 to Jun 20, 2006 · Rockville, Md
- D•••• F•••••••• A•••••••• I•• to F•• S••••••••• C•••••••••left Jul 31, 2009, registered Feb 3, 2009 (-178 days) · Other
- F•• S••••••••• C••••••••• to U•• F•••••••• S••••••• I•••left Mar 26, 2009, registered Jan 13, 2025 (5772 days) · Other
- S••••••• I••••••••• S•••••••• I••• to D•••• F•••••••• A•••••••• I••left Oct 6, 2008, registered Nov 24, 2008 (49 days) · Other
- B••• O• A•••••• I••••••••• S•••••••• I••• to S••••••• I••••••••• S•••••••• I•••left Jun 20, 2006, registered Jul 7, 2006 (17 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
- Wirehousederived
- Years in industry
- 22derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address