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••••••• W•••
- X•• F•••••••• G•••• independent RIA currentsince Sep 1, 2021 · Bethesda, Md
- W•••• F•••• A••••••• wirehouseNov 20, 2019 to Aug 31, 2021 · Bethesda, Md
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseJun 12, 2018 to Nov 18, 2019 · Clinton, Md
- T••••• A••••••• S•••••••• I••• BD affiliatedAug 31, 2016 to Apr 30, 2018 · Hyattsville, Md
- S••••••• I••••••••• S•••••••• I••• formerDec 24, 2015 to Dec 31, 2016 · Hyattsville, Md
- M••••• S•••••• wirehouseAug 22, 2013 to Nov 23, 2015 · Washington, Dc
- W•••• F•••• A••••••• wirehouseMar 24, 2005 to Jul 16, 2013 · Mclean, Va
- E•••••••• A•••••••• L•• national BDFeb 24, 2004 to Dec 31, 2004 · Falls Church, Va
- W•••• F•••• A••••••• to X•• F•••••••• G••••left Aug 31, 2021, registered Sep 1, 2021 (1 days) · Wirehouse to independent RIA · moved with a team
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to W•••• F•••• A•••••••left Nov 18, 2019, registered Nov 20, 2019 (2 days) · Wirehouse to wirehouse
- T••••• A••••••• S•••••••• I••• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••left Apr 30, 2018, registered Jun 12, 2018 (43 days) · Affiliated broker-dealer or bank to wirehouse
- S••••••• I••••••••• S•••••••• I••• to T••••• A••••••• S•••••••• I•••left Dec 31, 2016, registered Aug 31, 2016 (-122 days) · corporate re-registration, not a move
- M••••• S•••••• to S••••••• I••••••••• S•••••••• I•••left Nov 23, 2015, registered Dec 24, 2015 (31 days) · Other
- W•••• F•••• A••••••• to M••••• S••••••left Jul 16, 2013, registered Aug 22, 2013 (37 days) · Wirehouse to wirehouse
- E•••••••• A•••••••• L•• to W•••• F•••• A•••••••left Dec 31, 2004, registered Mar 24, 2005 (83 days) · Affiliated broker-dealer or bank to wirehouse
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
- Independent wealth managerderived
- Years in industry
- 22derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address