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.
H•••••• D•••••••• C•••••••
- W••••• E••••••••• A••••••• S•••••••• L•• BD affiliated currentsince Jul 23, 2019 · Plymouth, Mn
- P••••••• S•••••••• G••••• L•• formerAug 23, 2011 to Sep 10, 2019 · Fulton, Md
- O•••• F•• I••• formerOct 1, 2007 to Nov 3, 2010 · Sykesville, Md
- P••••••• S•••••••• G••••• L•• to W••••• E••••••••• A••••••• S•••••••• L••left Sep 10, 2019, registered Jul 23, 2019 (-49 days) · RIA to affiliated broker-dealer or bank · moved with a team
- O•••• F•• I••• to P••••••• S•••••••• G••••• L••left Nov 3, 2010, registered Aug 23, 2011 (293 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
- 18derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address