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••••• M•••••• C•••
- C••• C••••••• independent RIA currentsince Feb 24, 2021 · Arlington, Va
- I••••• L•• independent RIAFeb 27, 2019 to Dec 17, 2020 · Washington, Dc
- P••• A••••• S••••••••• L•• BD affiliatedSep 7, 2006 to Feb 1, 2019 · Chevy Chase, Md
- P•••• S••••••••• L•• no RAUMOct 6, 2004 to Jul 26, 2006 · Hunt Valley, Md
- I••••• L•• to C••• C•••••••left Dec 17, 2020, registered Feb 24, 2021 (69 days) · RIA to RIA
- P••• A••••• S••••••••• L•• to I••••• L••left Feb 1, 2019, registered Feb 27, 2019 (26 days) · Affiliated broker-dealer or bank to independent RIA · moved with a team
- P•••• S••••••••• L•• to P••• A••••• S••••••••• L••left Jul 26, 2006, registered Sep 7, 2006 (43 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
- Independent wealth managerderived
- Years in industry
- 22derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address