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•••••••• M• M••••••
- W•••• F•••• A••••••• wirehouse currentsince Sep 17, 2020 · Annapolis, Md
- C••••• A•••••• N••••••• L•• formerNov 26, 2019 to Nov 26, 2019 · Annapolis, Md
- S••••• F•••••••• G•••• I•• formerNov 26, 2019 to Sep 29, 2020 · Annapolis, Md
- R•••••• J•••• • A••••••••• I••• national BDAug 6, 2019 to Nov 18, 2019 · Hunt Valley, Md
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseJul 29, 2008 to Aug 5, 2019 · Annapolis, Md
- M••••• S•••••• • C•• L•• unclassifiedDec 21, 2007 to Jul 15, 2008 · New York, Ny
- E•••••• F•••••••• S•••••••• L•• formerMay 25, 2007 to Oct 19, 2007 · Fairfax, Va
- S••••• F•••••••• G•••• I•• to W•••• F•••• A•••••••left Sep 29, 2020, registered Sep 17, 2020 (-12 days) · Affiliated broker-dealer or bank to wirehouse
- C••••• A•••••• N••••••• L•• to S••••• F•••••••• G•••• I••left Nov 26, 2019, registered Nov 26, 2019 (0 days) · channel change inside one enterprise, not a move
- R•••••• J•••• • A••••••••• I••• to C••••• A•••••• N••••••• L••left Nov 18, 2019, registered Nov 26, 2019 (8 days) · Affiliated broker-dealer or bank to another
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to R•••••• J•••• • A••••••••• I•••left Aug 5, 2019, registered Aug 6, 2019 (1 days) · Wirehouse to affiliated broker-dealer or bank
- M••••• S•••••• • C•• L•• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••left Jul 15, 2008, registered Jul 29, 2008 (14 days) · Other
- E•••••• F•••••••• S•••••••• L•• to M••••• S•••••• • C•• L••left Oct 19, 2007, registered Dec 21, 2007 (63 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