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.
G••••• A•••••• V•••
- C•••••••• G••••• M•••••• I••• BD affiliated currentsince Oct 31, 2019 · Rockville, Md
- P•••• S••••••••• L•• no RAUMJun 25, 2018 to Aug 27, 2019 · North Bethesda, Md
- C•••••• O•• A•••••••• L•• formerApr 22, 2015 to May 3, 2018 · Bethesda, Md
- W•••• F•••• A••••••• wirehouseAug 14, 2013 to Jun 23, 2014 · Columbia, Md
- A••••••••• F•••••••• S•••••••• L•• national BDDec 1, 2010 to Sep 23, 2011 · Aliso Veijo, Ca
- S•••••••• A••••••• L•• national BDJun 28, 2010 to Dec 2, 2010 · Pasadena, Ca
- A••••• A•••• M••••••••• G••••• I••• unclassifiedNov 18, 2009 to May 20, 2010 · Schiller Oark, Il
- A••••••••• F•••••••• S•••••••• L•• national BDFeb 1, 2007 to Jun 9, 2008 · New York, Ny
- A••••••••• F•••••••• S•••••••• L•• national BDJun 7, 2004 to Jan 8, 2007 · Chicago, Il
- P•••• S••••••••• L•• to C•••••••• G••••• M•••••• I•••left Aug 27, 2019, registered Oct 31, 2019 (65 days) · Affiliated broker-dealer or bank to another
- C•••••• O•• A•••••••• L•• to P•••• S••••••••• L••left May 3, 2018, registered Jun 25, 2018 (53 days) · Affiliated broker-dealer or bank to another
- W•••• F•••• A••••••• to C•••••• O•• A•••••••• L••left Jun 23, 2014, registered Apr 22, 2015 (303 days) · Other
- A••••••••• F•••••••• S•••••••• L•• to W•••• F•••• A•••••••left Sep 23, 2011, registered Aug 14, 2013 (691 days) · Affiliated broker-dealer or bank to wirehouse
- S•••••••• A••••••• L•• to A••••••••• F•••••••• S•••••••• L••left Dec 2, 2010, registered Dec 1, 2010 (-1 days) · Affiliated broker-dealer or bank to another
- A••••• A•••• M••••••••• G••••• I••• to S•••••••• A••••••• L••left May 20, 2010, registered Jun 28, 2010 (39 days) · Other
- A••••••••• F•••••••• S•••••••• L•• to A••••• A•••• M••••••••• G••••• I•••left Jun 9, 2008, registered Nov 18, 2009 (527 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