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.
C•••••• W• R•••
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouse currentsince Sep 29, 2011 · Bethesda, Md
- C••••••••• W••••• A•••••••• L•• formerOct 1, 2008 to Sep 29, 2011 · Potomac, Md
- C•••••••• G••••• M•••••• I••• BD affiliatedMar 22, 2005 to Sep 9, 2008 · Washington, Dc
- C••••••••• W••••• A•••••••• L•• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••left Sep 29, 2011, registered Sep 29, 2011 (0 days) · Other
- C•••••••• G••••• M•••••• I••• to C••••••••• W••••• A•••••••• L••left Sep 9, 2008, registered Oct 1, 2008 (22 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
- Wirehousederived
- Years in industry
- 21derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address