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.
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L•••••• M•••• M•••
- L•• F•••••••• L•• BD affiliated currentsince Oct 30, 2023 · Owings Mills, Md
- P•••••••• S••••••••• I••• BD affiliatedFeb 20, 2023 to Oct 31, 2023 · Bethesda, Md
- J••• M••••• S••••••••• L•• wirehouseOct 1, 2019 to Jan 8, 2023 · Washington, Dc
- E•••••••• A•••••••• L•• national BDMay 25, 2017 to Sep 16, 2019 · Columbia, Md
- M•• I•••••••• S•••••••• L•• BD affiliatedApr 21, 2015 to May 18, 2017 · Rockville, Md
- P•••••••• S••••••••• I••• to L•• F•••••••• L••left Oct 31, 2023, registered Oct 30, 2023 (-1 days) · Affiliated broker-dealer or bank to another
- J••• M••••• S••••••••• L•• to P•••••••• S••••••••• I•••left Jan 8, 2023, registered Feb 20, 2023 (43 days) · Wirehouse to affiliated broker-dealer or bank
- E•••••••• A•••••••• L•• to J••• M••••• S••••••••• L••left Sep 16, 2019, registered Oct 1, 2019 (15 days) · Affiliated broker-dealer or bank to wirehouse
- M•• I•••••••• S•••••••• L•• to E•••••••• A•••••••• L••left May 18, 2017, registered May 25, 2017 (7 days) · Other
- L•••••• M•••• M••• left P•••••••• S••••••••• I••• for L•• F•••••••• L•• (registered 2023-10-30)Oct 31, 2023 · Advisor changed firm · fact
- L•••••• M•••• M••• left J••• M••••• S••••••••• L•• for P•••••••• S••••••••• I••• (registered 2023-02-20)Jan 8, 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
- Broker-dealer affiliated wealth managerderived
- Years in industry
- 17derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address