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.
D••••• A••••• S••••
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouse currentsince Oct 8, 2024 · Gainesville, Fl
- P•••• S••••••••• L•• no RAUMFeb 8, 2021 to Aug 23, 2022 · North Bethesda, Md
- E•••••••• A•••••••• L•• national BDOct 22, 2020 to Feb 12, 2021 · Falls Church, Va
- P•••• S••••••••• L•• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••left Aug 23, 2022, registered Oct 8, 2024 (777 days) · Affiliated broker-dealer or bank to wirehouse
- E•••••••• A•••••••• L•• to P•••• S••••••••• L••left Feb 12, 2021, registered Feb 8, 2021 (-4 days) · Affiliated broker-dealer or bank to another
- D••••• A••••• S•••• left P•••• S••••••••• L•• for M•••••• L••••• P•••••• F••••• • S•••• I••••••••• (registered 2024-10-08)Aug 23, 2022 · Advisor changed firm · fact
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
- 17derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address