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.
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- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouse currentsince Feb 19, 2016 · Vienna, Va
- E•••••• F•••••••• S•••••••• L•• formerOct 14, 2010 to Feb 11, 2016 · Fairfax, Va
- S•••••••• A••••••• L•• national BDMar 13, 2008 to Sep 13, 2010 · Bethesda, Md
- A••••••••• F•••••••• S•••••••• L•• national BDMar 21, 2006 to Apr 27, 2006 · Gaithersburg, Md
- E•••••• F•••••••• S•••••••• L•• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••left Feb 11, 2016, registered Feb 19, 2016 (8 days) · Other
- S•••••••• A••••••• L•• to E•••••• F•••••••• S•••••••• L••left Sep 13, 2010, registered Oct 14, 2010 (31 days) · Other
- A••••••••• F•••••••• S•••••••• L•• to S•••••••• A••••••• L••left Apr 27, 2006, registered Mar 13, 2008 (686 days) · Affiliated broker-dealer or bank to another
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
- 20derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address