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•••••• S••• B•••••
- E••••• J•••• national BD currentsince May 18, 2018 · Edgewater, Md
- P•• W••••• M••••••••• BD affiliatedMar 3, 2015 to May 22, 2018 · Severna Park, Md
- S••••••• I••••••••• S•••••••• I••• formerJul 6, 2011 to Feb 11, 2015 · College Park, Md
- E••••• J•••• national BDSep 29, 2008 to Mar 4, 2010 · St Louis, Mo
- P•• W••••• M••••••••• to E••••• J••••left May 22, 2018, registered May 18, 2018 (-4 days) · Affiliated broker-dealer or bank to another
- S••••••• I••••••••• S•••••••• I••• to P•• W••••• M•••••••••left Feb 11, 2015, registered Mar 3, 2015 (20 days) · Other
- E••••• J•••• to S••••••• I••••••••• S•••••••• I•••left Mar 4, 2010, registered Jul 6, 2011 (489 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
- National broker-dealer RIAderived
- Years in industry
- 18derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address