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.
L••••• B••••• F••••••
- T• R••• P•••• A••••••••• I••• asset manager currentsince Feb 26, 2019 · Baltimore, Md
- T• R••• P•••• A••••••• S•••••••• I••• BD affiliatedDec 4, 2018 to Mar 6, 2019 · Owings Mills, Md
- S•••••••• A••••••• L•• national BDNov 26, 2013 to Mar 12, 2015 · Washington, Dc
- T• R••• P•••• A••••••• S•••••••• I••• BD affiliatedMar 14, 2007 to Oct 16, 2013 · Washington, Dc
- T• R••• P•••• A••••••• S•••••••• I••• to T• R••• P•••• A••••••••• I•••left Mar 6, 2019, registered Feb 26, 2019 (-8 days) · corporate re-registration, not a move
- S•••••••• A••••••• L•• to T• R••• P•••• A••••••• S•••••••• I•••left Mar 12, 2015, registered Dec 4, 2018 (1363 days) · Affiliated broker-dealer or bank to independent RIA
- T• R••• P•••• A••••••• S•••••••• I••• to S•••••••• A••••••• L••left Oct 16, 2013, registered Nov 26, 2013 (41 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
- Asset manager (funds and pooled vehicles)derived
- Years in industry
- 20derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address