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.
Y••••• G••••••••
- C•••••••• I••••••••• R••••••• A•••••••• I••• BD affiliated currentsince Feb 28, 2019 · Edgewater, Md
- S••••• F•••••••• G•••• I•• formerApr 19, 2016 to Mar 7, 2019 · Annapolis, Md
- A••••• W••••• P•••••••• L•• unclassifiedOct 26, 2010 to Sep 4, 2015 · Annapolis, Md
- H• B•••• I••• formerJun 17, 2009 to Oct 4, 2010 · Rockville, Md
- C•••••••• G••••• M•••••• I••• BD affiliatedMar 29, 2007 to Mar 12, 2009 · Annapolis, Md
- S••••• F•••••••• G•••• I•• to C•••••••• I••••••••• R••••••• A•••••••• I•••left Mar 7, 2019, registered Feb 28, 2019 (-7 days) · Affiliated broker-dealer or bank to another
- A••••• W••••• P•••••••• L•• to S••••• F•••••••• G•••• I••left Sep 4, 2015, registered Apr 19, 2016 (228 days) · Other
- H• B•••• I••• to A••••• W••••• P•••••••• L••left Oct 4, 2010, registered Oct 26, 2010 (22 days) · Other
- C•••••••• G••••• M•••••• I••• to H• B•••• I•••left Mar 12, 2009, registered Jun 17, 2009 (97 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
- 19derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address