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.
A•••••••• K••••••••
- X•• F•••••••• G•••• independent RIA currentsince Feb 21, 2019 · Bethesda, Md
- E•••••• F•••••••• S•••••••• L•• formerJul 20, 2012 to Jun 27, 2014 · Fairfax, Va
- M••••• S•••••• wirehouseMar 2, 2011 to Jul 11, 2012 · Vienna, Va
- R•• C•••••• M••••••• L•• national BDMar 13, 2009 to Feb 24, 2011 · Vienna, Va
- F•••••• B•••• W••••• L•• unclassifiedMar 7, 2007 to Mar 13, 2009 · Mclean, Va
- E•••••• F•••••••• S•••••••• L•• to X•• F•••••••• G••••left Jun 27, 2014, registered Feb 21, 2019 (1700 days) · Other
- M••••• S•••••• to E•••••• F•••••••• S•••••••• L••left Jul 11, 2012, registered Jul 20, 2012 (9 days) · Other
- R•• C•••••• M••••••• L•• to M••••• S••••••left Feb 24, 2011, registered Mar 2, 2011 (6 days) · Affiliated broker-dealer or bank to wirehouse
- F•••••• B•••• W••••• L•• to R•• C•••••• M••••••• L••left Mar 13, 2009, registered Mar 13, 2009 (0 days) · corporate re-registration, not a move
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
- 19derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address