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•••••• Z•••••
- K••••• A••••••• S•••••••• L•• BD affiliated currentsince Jul 27, 2024 · Gaithersburg, Md
- N••••••• P••••••• C••••••••• •••• O• A••••••• I• F• • N•• formerJun 5, 2012 to Nov 11, 2016 · Rockville, Md
- R••••••• C••••• A••••••• S••••••• formerDec 16, 2009 to May 17, 2012 · Baltimore, Md
- P••• A••••• S••••••••• L•• BD affiliatedJun 5, 2009 to Sep 18, 2009 · Hunt Valley, Md
- O•••• W•••••• I••• BD affiliatedJul 17, 2008 to Dec 11, 2008 · Towson, Md
- J•••••• C•••••• M••••••••• L•• formerDec 3, 2007 to Dec 11, 2008 · Highland, Ut
- N••••••• P••••••• C••••••••• •••• O• A••••••• I• F• • N•• to K••••• A••••••• S•••••••• L••left Nov 11, 2016, registered Jul 27, 2024 (2815 days) · Other
- R••••••• C••••• A••••••• S••••••• to N••••••• P••••••• C••••••••• •••• O• A••••••• I• F• • N••left May 17, 2012, registered Jun 5, 2012 (19 days) · Other
- P••• A••••• S••••••••• L•• to R••••••• C••••• A••••••• S•••••••left Sep 18, 2009, registered Dec 16, 2009 (89 days) · Other
- J•••••• C•••••• M••••••••• L•• to O•••• W•••••• I•••left Dec 11, 2008, registered Jul 17, 2008 (-147 days) · Other
- O•••• W•••••• I••• to P••• A••••• S••••••••• L••left Dec 11, 2008, registered Jun 5, 2009 (176 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