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••••••••• L•• K•••
- T••••• A••••••• S•••••••• I••• BD affiliated currentsince Dec 23, 2021 · Hunt Valley, Md
- W•••• F•••• A••••••• wirehouseOct 17, 2014 to Dec 8, 2017 · Annapolis, Md
- A••••••••• I••• BD affiliatedJul 1, 2011 to Oct 16, 2014 · Concord, Ca
- C•••••• S••••• • C••• I••• national BDJan 14, 2008 to Apr 25, 2011 · Phoenix, Az
- W•••• F•••• A••••••• to T••••• A••••••• S•••••••• I•••left Dec 8, 2017, registered Dec 23, 2021 (1476 days) · Wirehouse to affiliated broker-dealer or bank
- A••••••••• I••• to W•••• F•••• A•••••••left Oct 16, 2014, registered Oct 17, 2014 (1 days) · Other
- C•••••• S••••• • C••• I••• to A••••••••• I•••left Apr 25, 2011, registered Jul 1, 2011 (67 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
- 20derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address