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•••• S•••••••
- E•••••• A••••••• G••••• L•• BD affiliated currentsince Jun 14, 2022 · Greenwood Village, Co
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseMay 15, 2015 to May 21, 2022 · Frederick, Md
- B••• I••••••••• S•••••••• I••• formerFeb 15, 2006 to Nov 8, 2006 · Charlotte, Nc
- E•••••••• A•••••••• L•• national BDJun 27, 2005 to Jan 10, 2006 · Columbia, Md
- T••••••• I••••••••• M••••••••• I••• BD affiliatedJan 3, 2005 to Jun 15, 2005 · Holbrook, Md
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to E•••••• A••••••• G••••• L••left May 21, 2022, registered Jun 14, 2022 (24 days) · Wirehouse to affiliated broker-dealer or bank · moved with a team
- B••• I••••••••• S•••••••• I••• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••left Nov 8, 2006, registered May 15, 2015 (3110 days) · Other
- E•••••••• A•••••••• L•• to B••• I••••••••• S•••••••• I•••left Jan 10, 2006, registered Feb 15, 2006 (36 days) · Affiliated broker-dealer or bank to a newly registered adviser
- T••••••• I••••••••• M••••••••• I••• to E•••••••• A•••••••• L••left Jun 15, 2005, registered Jun 27, 2005 (12 days) · Other
- M•••••• J•••• S••••••• left M•••••• L••••• P•••••• F••••• • S•••• I••••••••• for E•••••• A••••••• G••••• L•• (registered 2022-06-14)May 21, 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
- Broker-dealer affiliated wealth managerderived
- Years in industry
- 21derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address