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.
D•••••• A•• D••••••
- T••••• P••••••• L•• independent RIA currentsince Oct 28, 2019 · Saint Marys, Ga
- L••••• A••••••• L•• formerJun 2, 2016 to Feb 20, 2018 · Newark, De
- A••••••• I••••••••• P••••••• independent RIAApr 11, 2016 to Jun 10, 2016 · Wilmington, De
- S•••• W••••• M••••••••• L•• BD affiliatedAug 25, 2015 to Apr 13, 2016 · Mclean, Va
- L••••• A••••••• L•• to T••••• P••••••• L••left Feb 20, 2018, registered Oct 28, 2019 (615 days) · RIA to RIA
- A••••••• I••••••••• P••••••• to L••••• A••••••• L••left Jun 10, 2016, registered Jun 2, 2016 (-8 days) · Other
- S•••• W••••• M••••••••• L•• to A••••••• I••••••••• P•••••••left Apr 13, 2016, registered Apr 11, 2016 (-2 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