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.
J•••• S•••• N••••••
- S•••••• W••••• P•••••••• L•• BD affiliated currentsince Jan 6, 2022 · Frederick, Md
- N•••••• F•••••••• unclassifiedApr 16, 2018 to Feb 28, 2022 · Knoxville, Md
- G••••• F•••••••• P•••••• C••••••• I••• formerMar 26, 2010 to May 22, 2018 · Knoxville, Md
- L•• F•••••••• L•• BD affiliatedOct 15, 2007 to Sep 29, 2008 · Gaithersburg, Md
- N•••••• F•••••••• to S•••••• W••••• P•••••••• L••left Feb 28, 2022, registered Jan 6, 2022 (-53 days) · Other
- G••••• F•••••••• P•••••• C••••••• I••• to N•••••• F••••••••left May 22, 2018, registered Apr 16, 2018 (-36 days) · Other
- L•• F•••••••• L•• to G••••• F•••••••• P•••••• C••••••• I•••left Sep 29, 2008, registered Mar 26, 2010 (543 days) · Other
- J•••• S•••• N•••••• left N•••••• F•••••••• for S•••••• W••••• P•••••••• L•• (registered 2022-01-06)Feb 28, 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
- 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