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.
R••• S•••• A••••••
- L•• F•••••••• L•• BD affiliated currentsince Jun 9, 2021 · York, Pa
- M•• S••••••••• I••• unclassifiedOct 6, 2014 to Jun 9, 2021 · Annapolis, Md
- L•• F•••••••• L•• BD affiliatedMar 3, 2008 to Aug 5, 2014 · Towson, Md
- H••••••••• F•••••••• A•••••••• I••• independent RIAApr 18, 2005 to Aug 12, 2014 · Timonium, Md
- M•• S••••••••• I••• to L•• F•••••••• L••left Jun 9, 2021, registered Jun 9, 2021 (0 days) · corporate re-registration, not a move
- H••••••••• F•••••••• A•••••••• I••• to L•• F•••••••• L••left Aug 12, 2014, registered Mar 3, 2008 (-2353 days) · Other
- L•• F•••••••• L•• to M•• S••••••••• I•••left Aug 5, 2014, registered Oct 6, 2014 (62 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
- 22derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address