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.
S•••••• J• R•••••
- L•• F•••••••• L•• BD affiliated currentsince Jan 9, 2024 · Linthicum, Md
- G••• L••• A•••••••• L•• independent RIANov 21, 2017 to Jun 5, 2018 · Baltimore, Md
- C•••••• S••••• • C••• I••• national BDJun 1, 2016 to Nov 27, 2017 · Gaithersburg, Md
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseSep 17, 2014 to Feb 19, 2016 · Baltimore, Md
- S•••••••• F••••••••• I••• formerNov 7, 2013 to Sep 2, 2014 · Gaithersburg, Md
- P•• W••••• M••••••••• BD affiliatedDec 4, 2012 to Nov 1, 2013 · Bethesda, Md
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseSep 13, 2011 to Oct 18, 2012 · Los Angeles, Ca
- E••••• J•••• national BDJun 27, 2008 to Sep 14, 2011 · C••••••Ton, Sc
- E••••• J•••• national BDSep 19, 2007 to Mar 6, 2008 · Bluffton, Sc
- G••• L••• A•••••••• L•• to L•• F•••••••• L••left Jun 5, 2018, registered Jan 9, 2024 (2044 days) · RIA to affiliated broker-dealer or bank
- C•••••• S••••• • C••• I••• to G••• L••• A•••••••• L••left Nov 27, 2017, registered Nov 21, 2017 (-6 days) · Other
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to C•••••• S••••• • C••• I•••left Feb 19, 2016, registered Jun 1, 2016 (103 days) · Wirehouse to affiliated broker-dealer or bank
- S•••••••• F••••••••• I••• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••left Sep 2, 2014, registered Sep 17, 2014 (15 days) · Other
- P•• W••••• M••••••••• to S•••••••• F••••••••• I•••left Nov 1, 2013, registered Nov 7, 2013 (6 days) · Other
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to P•• W••••• M•••••••••left Oct 18, 2012, registered Dec 4, 2012 (47 days) · Other
- E••••• J•••• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••left Sep 14, 2011, registered Sep 13, 2011 (-1 days) · Affiliated broker-dealer or bank to wirehouse
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
- 19derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address