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••• S••••• A•••••••
- C•••••••• C•••••• L•• state registered currentsince Jan 14, 2021 · Alexandria, Va
- M••••• F••• W••••• M••••••••• L•• independent RIAJul 29, 2014 to Jan 5, 2021 · Alexandria, Va
- M••••• S•••••• wirehouseJul 13, 2012 to Jul 15, 2014 · Mclean, Va
- A••••••••• F•••••••• S•••••••• L•• national BDJun 4, 2008 to Aug 6, 2012 · Vienna, Va
- M••••• F••• W••••• M••••••••• L•• to C•••••••• C•••••• L••left Jan 5, 2021, registered Jan 14, 2021 (9 days) · RIA to a state-registered adviser · moved with a team
- M••••• S•••••• to M••••• F••• W••••• M••••••••• L••left Jul 15, 2014, registered Jul 29, 2014 (14 days) · Other
- A••••••••• F•••••••• S•••••••• L•• to M••••• S••••••left Aug 6, 2012, registered Jul 13, 2012 (-24 days) · Affiliated broker-dealer or bank to wirehouse
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
- 25derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address