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.
K•••••• D••••
- J••• M••••• S••••••••• L•• wirehouse currentsince Apr 14, 2022 · Falls Church, Va
- F••••••• P••••••• A•• W•••••••• A••••••• formerFeb 3, 2020 to Mar 24, 2022 · Alexandria, Va
- C•••••• S••••• • C••• I••• national BDJun 7, 2016 to Oct 9, 2019 · Washington, Dc
- B••• I••••••••• S•••••••• I••• formerSep 14, 2009 to Apr 13, 2016 · Washington, Dc
- E••••• J•••• national BDAug 21, 2008 to Aug 31, 2009 · Fairfax, Va
- F••••••• P••••••• A•• W•••••••• A••••••• to J••• M••••• S••••••••• L••left Mar 24, 2022, registered Apr 14, 2022 (21 days) · Affiliated broker-dealer or bank to wirehouse
- C•••••• S••••• • C••• I••• to F••••••• P••••••• A•• W•••••••• A•••••••left Oct 9, 2019, registered Feb 3, 2020 (117 days) · Affiliated broker-dealer or bank to another
- B••• I••••••••• S•••••••• I••• to C•••••• S••••• • C••• I•••left Apr 13, 2016, registered Jun 7, 2016 (55 days) · Other
- E••••• J•••• to B••• I••••••••• S•••••••• I•••left Aug 31, 2009, registered Sep 14, 2009 (14 days) · Affiliated broker-dealer or bank to a newly registered adviser
- K•••••• D•••• left F••••••• P••••••• A•• W•••••••• A••••••• for J••• M••••• S••••••••• L•• (registered 2022-04-14)Mar 24, 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
- Wirehousederived
- Years in industry
- 18derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address