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••••• A•••••• R•••••
- L•• F•••••••• L•• BD affiliated currentsince Nov 1, 2013 · Rockville, Md
- L•••• M•• • A••••••••• L•• formerJul 17, 2012 to Nov 4, 2013 · Fairfax, Va
- A••••••• F•••••••• A•••••••• L•• BD affiliatedOct 24, 2011 to Jun 21, 2012 · Wheaton, Md
- L•• F•••••••• L•• BD affiliatedJun 2, 2009 to Jun 17, 2010 · Silver Spring, Md
- P•• W••••• M••••••••• BD affiliatedMay 5, 2008 to Jun 2, 2009 · Gambrills, Md
- U•••• F•••••••• S••••••• G••••• I••• unclassifiedAug 3, 2006 to Mar 25, 2008 · Baltimore, Md
- S••••••• I••••••••• S•••••••• I••• formerJun 14, 2004 to Feb 16, 2006 · Washington, Dc
- E•••••••• A•••••••• L•• national BDJul 24, 2003 to Apr 9, 2004 · Columbia, Md
- L•••• M•• • A••••••••• L•• to L•• F•••••••• L••left Nov 4, 2013, registered Nov 1, 2013 (-3 days) · Other
- A••••••• F•••••••• A•••••••• L•• to L•••• M•• • A••••••••• L••left Jun 21, 2012, registered Jul 17, 2012 (26 days) · Other
- L•• F•••••••• L•• to A••••••• F•••••••• A•••••••• L••left Jun 17, 2010, registered Oct 24, 2011 (494 days) · Other
- P•• W••••• M••••••••• to L•• F•••••••• L••left Jun 2, 2009, registered Jun 2, 2009 (0 days) · Other
- U•••• F•••••••• S••••••• G••••• I••• to P•• W••••• M•••••••••left Mar 25, 2008, registered May 5, 2008 (41 days) · Other
- S••••••• I••••••••• S•••••••• I••• to U•••• F•••••••• S••••••• G••••• I•••left Feb 16, 2006, registered Aug 3, 2006 (168 days) · Other
- E•••••••• A•••••••• L•• to S••••••• I••••••••• S•••••••• I•••left Apr 9, 2004, registered Jun 14, 2004 (66 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