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.
- W•••• F•••• A••••••• wirehouse currentsince Apr 24, 2024 · Dale City, Va
- M••••• S•••••• wirehouseSep 5, 2023 to May 9, 2024 · Washington, Dc
- E•••••• C•••••• M••••••••• L•• formerOct 9, 2020 to Sep 5, 2023 · Washington, Dc
- J••••• M••••••••• S•••• L•• BD affiliatedDec 14, 2015 to Sep 29, 2020 · Philadelphia, Pa
- M••••• S•••••• to W•••• F•••• A•••••••left May 9, 2024, registered Apr 24, 2024 (-15 days) · Wirehouse to wirehouse
- E•••••• C•••••• M••••••••• L•• to M••••• S••••••left Sep 5, 2023, registered Sep 5, 2023 (0 days) · corporate re-registration, not a move
- J••••• M••••••••• S•••• L•• to E•••••• C•••••• M••••••••• L••left Sep 29, 2020, registered Oct 9, 2020 (10 days) · Affiliated broker-dealer or bank to independent RIA
- K•••• C•••• left M••••• S•••••• for W•••• F•••• A••••••• (registered 2024-04-24)May 9, 2024 · 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
- 14derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address