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.
W•••••• R• Y••••
- A••••••••• F•••••••• S•••••••• L•• national BD currentsince Oct 25, 2023 · Gaithersburg, Md
- K•••••••• W••••• A•••••••• L•• BD affiliatedMar 15, 2018 to Nov 3, 2023 · Rockville, Md
- H• B•••• I••• formerFeb 23, 2010 to Oct 17, 2017 · Bethesda, Md
- U••••• B•••••••• S••••••• I•• BD affiliatedAug 18, 2008 to Dec 14, 2009 · Washington, Dc
- T• A••••••••• I••••••••• M••••••••• L•• formerMay 15, 2006 to Jul 18, 2008 · Bethesda, Md
- T• A••••••••• I••• formerMar 31, 2006 to Jul 18, 2008 · Potomac, Md
- M•• S••••••••• I••• unclassifiedApr 26, 2005 to Mar 17, 2006 · Cheektowaga, Ny
- A••••••••• F•••••••• S•••••••• L•• national BDOct 13, 2004 to Apr 18, 2005 · Annapolis, Md
- K•••••••• W••••• A•••••••• L•• to A••••••••• F•••••••• S•••••••• L••left Nov 3, 2023, registered Oct 25, 2023 (-9 days) · Affiliated broker-dealer or bank to another · moved with a team
- H• B•••• I••• to K•••••••• W••••• A•••••••• L••left Oct 17, 2017, registered Mar 15, 2018 (149 days) · Other · moved with a team
- U••••• B•••••••• S••••••• I•• to H• B•••• I•••left Dec 14, 2009, registered Feb 23, 2010 (71 days) · Other
- T• A••••••••• I••••••••• M••••••••• L•• to U••••• B•••••••• S••••••• I••left Jul 18, 2008, registered Aug 18, 2008 (31 days) · Other
- T• A••••••••• I••• to T• A••••••••• I••••••••• M••••••••• L••left Jul 18, 2008, registered May 15, 2006 (-795 days) · channel change inside one enterprise, not a move
- M•• S••••••••• I••• to T• A••••••••• I•••left Mar 17, 2006, registered Mar 31, 2006 (14 days) · Other
- A••••••••• F•••••••• S•••••••• L•• to M•• S••••••••• I•••left Apr 18, 2005, registered Apr 26, 2005 (8 days) · Other
- W•••••• R• Y•••• left K•••••••• W••••• A•••••••• L•• for A••••••••• F•••••••• S•••••••• L•• (registered 2023-10-25)Nov 3, 2023 · 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
- National broker-dealer RIAderived
- Years in industry
- 21derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address