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.
S•••••• J••••• R••••
- E•••••• A••••••• G••••• L•• BD affiliated currentsince Mar 31, 2021 · Greenwood Village, Co
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseDec 26, 2019 to Sep 28, 2020 · Baltimore, Md
- T• A••••••••• I••• formerFeb 27, 2018 to Sep 11, 2019 · Towson, Md
- T• A••••••••• I••••••••• M••••••••• L•• formerFeb 26, 2018 to Sep 11, 2019 · Omaha, Ne
- S•••••••• I••••••••• M••••••••• formerAug 21, 2017 to Feb 26, 2018 · Saint Louis, Mo
- P••• A••••• S••••••••• L•• BD affiliatedDec 7, 2006 to Feb 9, 2007 · Hunt Valley, Md
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to E•••••• A••••••• G••••• L••left Sep 28, 2020, registered Mar 31, 2021 (184 days) · Other
- T• A••••••••• I••••••••• M••••••••• L•• to T• A••••••••• I•••left Sep 11, 2019, registered Feb 27, 2018 (-561 days) · corporate re-registration, not a move
- T• A••••••••• I••• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••left Sep 11, 2019, registered Dec 26, 2019 (106 days) · Other
- S•••••••• I••••••••• M••••••••• to T• A••••••••• I••••••••• M••••••••• L••left Feb 26, 2018, registered Feb 26, 2018 (0 days) · corporate re-registration, not a move
- P••• A••••• S••••••••• L•• to S•••••••• I••••••••• M•••••••••left Feb 9, 2007, registered Aug 21, 2017 (3846 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
- 21derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address