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••••• S•••• L••••••
- A•• C•••••• M••••••••• L•• asset manager currentsince Apr 6, 2016 · Bethesda, Md
- C•••• C•••• T•••• C•••••• mixed wealth currentsince Nov 18, 2009 · Bethesda, Md
- P•• W••••• M••••••••• BD affiliatedSep 24, 2008 to Jul 2, 2009 · Germantown, Md
- A••••••••• F•••••••• S•••••••• L•• national BDSep 15, 2004 to Sep 8, 2008 · Gaithersburg, Md
- P•• W••••• M••••••••• to C•••• C•••• T•••• C••••••left Jul 2, 2009, registered Nov 18, 2009 (139 days) · Other
- A••••••••• F•••••••• S•••••••• L•• to P•• W••••• M•••••••••left Sep 8, 2008, registered Sep 24, 2008 (16 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
- Wealth manager with institutional or fund businessderived
- Years in industry
- 22derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address