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.
R•••••• E• B••••••
- C•••••• W••••• M••••••••• L•• independent RIA currentsince Mar 24, 2021 · Guilford, Ct
- R•• C•••••• M••••••• L•• national BDNov 13, 2012 to Dec 8, 2020 · Washington, Dc
- M••••• S•••••• wirehouseApr 20, 2011 to Nov 20, 2012 · Washington, Dc
- L•••• M•• • A••••••••• L•• formerMar 8, 2010 to Mar 8, 2011 · Fairfax, Va
- M••••• S•••••• wirehouseJun 1, 2009 to Mar 23, 2010 · Washington, Dc
- M••••• S•••••• • C•• L•• unclassifiedMar 4, 2009 to Jun 1, 2009 · Washington, Dc
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseDec 1, 2007 to Mar 5, 2009 · Vienna, Va
- R•• C•••••• M••••••• L•• to C•••••• W••••• M••••••••• L••left Dec 8, 2020, registered Mar 24, 2021 (106 days) · Affiliated broker-dealer or bank to independent RIA
- M••••• S•••••• to R•• C•••••• M••••••• L••left Nov 20, 2012, registered Nov 13, 2012 (-7 days) · Wirehouse to affiliated broker-dealer or bank
- L•••• M•• • A••••••••• L•• to M••••• S••••••left Mar 8, 2011, registered Apr 20, 2011 (43 days) · Other
- M••••• S•••••• to L•••• M•• • A••••••••• L••left Mar 23, 2010, registered Mar 8, 2010 (-15 days) · Other
- M••••• S•••••• • C•• L•• to M••••• S••••••left Jun 1, 2009, registered Jun 1, 2009 (0 days) · corporate re-registration, not a move
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to M••••• S•••••• • C•• L••left Mar 5, 2009, registered Mar 4, 2009 (-1 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
- Independent wealth managerderived
- Years in industry
- 18derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address