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.
J••••• R••••••••• F••••
- L•• F•••••••• L•• BD affiliated currentsince Dec 9, 2016 · Fort Meade, Md
- B••• I••••••••• S•••••••• I••• formerApr 14, 2014 to Mar 20, 2015 · Charlotte, Nc
- P••••••• S•••••••• G••••• L•• formerSep 12, 2013 to Mar 9, 2015 · Fulton, Md
- H•••••••• A••••••• C•••• otherMar 1, 2011 to Sep 11, 2013 · Arlington, Va
- I••••••••• A••••••• C••• formerSep 7, 2010 to Feb 7, 2011 · Millersville, Md
- C•••••• O•• F•••••••• A••••••• L•• unclassifiedApr 26, 2010 to Sep 9, 2010 · Melville, Ny
- C•••• C•••• F•••••••• S••••••• unclassifiedSep 7, 2005 to May 7, 2010 · Bethesda, Md
- A••••••••• F•••••••• S•••••••• L•• national BDSep 10, 2003 to Sep 1, 2005 · Annapolis, Md
- B••• I••••••••• S•••••••• I••• to L•• F•••••••• L••left Mar 20, 2015, registered Dec 9, 2016 (630 days) · Other
- P••••••• S•••••••• G••••• L•• to B••• I••••••••• S•••••••• I•••left Mar 9, 2015, registered Apr 14, 2014 (-329 days) · Other
- H•••••••• A••••••• C•••• to P••••••• S•••••••• G••••• L••left Sep 11, 2013, registered Sep 12, 2013 (1 days) · Other
- I••••••••• A••••••• C••• to H•••••••• A••••••• C••••left Feb 7, 2011, registered Mar 1, 2011 (22 days) · Other
- C•••••• O•• F•••••••• A••••••• L•• to I••••••••• A••••••• C•••left Sep 9, 2010, registered Sep 7, 2010 (-2 days) · Other
- C•••• C•••• F•••••••• S••••••• to C•••••• O•• F•••••••• A••••••• L••left May 7, 2010, registered Apr 26, 2010 (-11 days) · corporate re-registration, not a move
- A••••••••• F•••••••• S•••••••• L•• to C•••• C•••• F•••••••• S•••••••left Sep 1, 2005, registered Sep 7, 2005 (6 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