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.
D••••• J•••• P•••••••
- A•••••• W••••• M••••••••• L•• independent RIA currentsince Oct 7, 2024 · Rockville, Md
- C•• W•••••• L•• formerAug 16, 2018 to Dec 31, 2024 · Owing Mills, Md
- S••••••• F•••••••• S•••••••• I••• formerFeb 1, 2017 to Jul 5, 2018 · Towson, Md
- C•••••• G•••• • C• I•• formerAug 11, 2015 to Dec 31, 2016 · Wilmington, De
- W•••••• • R••• formerApr 15, 2015 to Aug 18, 2015 · Owings Mills, Md
- C••••• I••••••••• A••••••• L•• BD affiliatedApr 4, 2014 to Apr 14, 2015 · Forest Hill, Md
- N••••••••• I••••••••• A•••••••• L•• BD affiliatedDec 5, 2006 to Apr 2, 2014 · Columbus, Oh
- N••••••••• I••••••••• S••••••• C••••••••• unclassifiedMay 8, 2006 to Dec 5, 2006 · Hunt Valley, Md
- C•• W•••••• L•• to A•••••• W••••• M••••••••• L••left Dec 31, 2024, registered Oct 7, 2024 (-85 days) · RIA to RIA · moved with a team
- S••••••• F•••••••• S•••••••• I••• to C•• W•••••• L••left Jul 5, 2018, registered Aug 16, 2018 (42 days) · Affiliated broker-dealer or bank to independent RIA
- C•••••• G•••• • C• I•• to S••••••• F•••••••• S•••••••• I•••left Dec 31, 2016, registered Feb 1, 2017 (32 days) · Other
- W•••••• • R••• to C•••••• G•••• • C• I••left Aug 18, 2015, registered Aug 11, 2015 (-7 days) · Other
- C••••• I••••••••• A••••••• L•• to W•••••• • R•••left Apr 14, 2015, registered Apr 15, 2015 (1 days) · Other
- N••••••••• I••••••••• A•••••••• L•• to C••••• I••••••••• A••••••• L••left Apr 2, 2014, registered Apr 4, 2014 (2 days) · Other
- N••••••••• I••••••••• S••••••• C••••••••• to N••••••••• I••••••••• A•••••••• L••left Dec 5, 2006, registered Dec 5, 2006 (0 days) · corporate re-registration, not a move
- D••••• J•••• P••••••• left C•• W•••••• L•• for A•••••• W••••• M••••••••• L•• (registered 2024-10-07)Dec 31, 2024 · 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
- Independent wealth managerderived
- Years in industry
- 20derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address