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.
E••• C•••••• S••••••••
- A•••• P•••••• W•••••• L•• independent RIA currentsince Oct 1, 2021 · Ashburn, Va
- W•••• F•••• A••••••• wirehouseFeb 20, 2009 to Oct 14, 2021 · Mclean, Va
- U•• F•••••••• S••••••• I••• wirehouseSep 1, 2005 to Mar 4, 2009 · Mclean, Va
- W•••• F•••• A••••••• to A•••• P•••••• W•••••• L••left Oct 14, 2021, registered Oct 1, 2021 (-13 days) · Wirehouse to a newly registered adviser (no RAUM reported yet)
- U•• F•••••••• S••••••• I••• to W•••• F•••• A•••••••left Mar 4, 2009, registered Feb 20, 2009 (-12 days) · Wirehouse to wirehouse
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