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.
M•••••• C••••••• B••••••
- L•••••• L••••• W••••• M••••••••• L•• state registered currentsince Oct 24, 2023 · Alexandria, Va
- C••••••••• F•••••••• P••••••• formerSep 18, 2019 to Oct 18, 2023 · Fort Washington, Md
- C•••••••• I••••••••• R••••••• A•••••••• I••• BD affiliatedJan 11, 2019 to Mar 12, 2021 · Fort Washington, Md
- H• B•••• I••• formerJun 7, 2018 to Dec 31, 2018 · Oden, In
- P••••••••• S••••••••• C••••••••• independent RIAMay 15, 2018 to Jun 8, 2018 · Oviedo, Fl
- C••••••••• F•••••••• P••••••• to L•••••• L••••• W••••• M••••••••• L••left Oct 18, 2023, registered Oct 24, 2023 (6 days) · RIA to a state-registered adviser
- C•••••••• I••••••••• R••••••• A•••••••• I••• to C••••••••• F•••••••• P•••••••left Mar 12, 2021, registered Sep 18, 2019 (-541 days) · Affiliated broker-dealer or bank to independent RIA
- H• B•••• I••• to C•••••••• I••••••••• R••••••• A•••••••• I•••left Dec 31, 2018, registered Jan 11, 2019 (11 days) · Affiliated broker-dealer or bank to another
- P••••••••• S••••••••• C••••••••• to H• B•••• I•••left Jun 8, 2018, registered Jun 7, 2018 (-1 days) · RIA to affiliated broker-dealer or bank
- M•••••• C••••••• B•••••• left C••••••••• F•••••••• P••••••• for L•••••• L••••• W••••• M••••••••• L•• (registered 2023-10-24)Oct 18, 2023 · 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
- STATE REGISTEREDderived
- Years in industry
- 11derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address