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•••••• E•••••••• D••••
- E•••••• F•••••••• E•••••• independent RIA currentsince May 25, 2021 · Bethesda, Md
- F••••••• P••••••• A•• W•••••••• A••••••• formerJul 13, 2018 to May 14, 2021 · Boston, Ma
- S•••••••• A••••••• L•• national BDMar 18, 2016 to Jul 13, 2018 · Durham, Nc
- E•••••• F•••••••• S•••••••• L•• formerOct 28, 2010 to Jan 26, 2016 · Bethesda, Md
- S•••• W••••• M••••••••• L•• BD affiliatedJun 12, 2009 to Oct 22, 2010 · Mclean, Va
- M•• F•••••••• S•••••••• I••• formerJul 27, 2007 to Jan 13, 2009 · Columbia, Md
- F••••••• P••••••• A•• W•••••••• A••••••• to E•••••• F•••••••• E••••••left May 14, 2021, registered May 25, 2021 (11 days) · Affiliated broker-dealer or bank to independent RIA
- S•••••••• A••••••• L•• to F••••••• P••••••• A•• W•••••••• A•••••••left Jul 13, 2018, registered Jul 13, 2018 (0 days) · corporate re-registration, not a move
- E•••••• F•••••••• S•••••••• L•• to S•••••••• A••••••• L••left Jan 26, 2016, registered Mar 18, 2016 (52 days) · Other
- S•••• W••••• M••••••••• L•• to E•••••• F•••••••• S•••••••• L••left Oct 22, 2010, registered Oct 28, 2010 (6 days) · Other
- M•• F•••••••• S•••••••• I••• to S•••• W••••• M••••••••• L••left Jan 13, 2009, registered Jun 12, 2009 (150 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
- Independent wealth managerderived
- Years in industry
- 21derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address