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.
J••••• W•••••• R•••••
- W•••• F•••• A••••••• wirehouse currentsince May 22, 2018 · Columbia, Md
- T••••• A••••••• S•••••••• I••• BD affiliatedSep 19, 2016 to May 21, 2018 · Bladensburg, Md
- S••••••• I••••••••• S•••••••• I••• formerMar 1, 2013 to Dec 31, 2016 · Greenbelt, Md
- B••• I••••••••• S•••••••• I••• formerJul 15, 2008 to Mar 4, 2013 · Annapolis, Md
- E••••• J•••• national BDNov 15, 2006 to Jul 31, 2007 · St Louis, Mo
- T••••• A••••••• S•••••••• I••• to W•••• F•••• A•••••••left May 21, 2018, registered May 22, 2018 (1 days) · Affiliated broker-dealer or bank to wirehouse
- S••••••• I••••••••• S•••••••• I••• to T••••• A••••••• S•••••••• I•••left Dec 31, 2016, registered Sep 19, 2016 (-103 days) · corporate re-registration, not a move
- B••• I••••••••• S•••••••• I••• to S••••••• I••••••••• S•••••••• I•••left Mar 4, 2013, registered Mar 1, 2013 (-3 days) · Other
- E••••• J•••• to B••• I••••••••• S•••••••• I•••left Jul 31, 2007, registered Jul 15, 2008 (350 days) · Affiliated broker-dealer or bank to a newly registered adviser
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
- 19derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address