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.
M•••••• K••••••
- J••• M••••• S••••••••• L•• wirehouse currentsince Jun 2, 2023 · Baltimore, Md
- B••••••••• F•••••••• A••••••• independent RIASep 27, 2021 to Sep 16, 2022 · Columbia, Md
- M••••• S•••••• wirehouseSep 9, 2013 to Aug 24, 2021 · Baltimore, Md
- M•• S••••••••• I••• unclassifiedMay 22, 2009 to Aug 27, 2013 · Baltimore, Md
- U•••• F•••••••• S••••••• G••••• I••• unclassifiedNov 12, 2008 to May 28, 2009 · Baltimore, Md
- B••••••••• F•••••••• A••••••• to J••• M••••• S••••••••• L••left Sep 16, 2022, registered Jun 2, 2023 (259 days) · RIA to wirehouse
- M••••• S•••••• to B••••••••• F•••••••• A•••••••left Aug 24, 2021, registered Sep 27, 2021 (34 days) · Wirehouse to independent RIA
- M•• S••••••••• I••• to M••••• S••••••left Aug 27, 2013, registered Sep 9, 2013 (13 days) · Other
- U•••• F•••••••• S••••••• G••••• I••• to M•• S••••••••• I•••left May 28, 2009, registered May 22, 2009 (-6 days) · Other
- M•••••• K•••••• left B••••••••• F•••••••• A••••••• for J••• M••••• S••••••••• L•• (registered 2023-06-02)Sep 16, 2022 · Advisor changed firm · fact
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
- 17derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address