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.
A••••• T•••••• A•••• T•••••••
- U•• F•••••••• S••••••• I••• wirehouse currentsince Mar 8, 2024 · Mclean, Va
- R•• C•••••• M••••••• L•• national BDMar 22, 2023 to Mar 15, 2024 · Vienna, Va
- U•• F•••••••• S••••••• I••• wirehouseSep 29, 2009 to Mar 27, 2023 · Bethesda, Md
- R•• C•••••• M••••••• L•• to U•• F•••••••• S••••••• I•••left Mar 15, 2024, registered Mar 8, 2024 (-7 days) · Affiliated broker-dealer or bank to wirehouse
- U•• F•••••••• S••••••• I••• to R•• C•••••• M••••••• L••left Mar 27, 2023, registered Mar 22, 2023 (-5 days) · Wirehouse to affiliated broker-dealer or bank
- A••••• T•••••• A•••• T••••••• left R•• C•••••• M••••••• L•• for U•• F•••••••• S••••••• I••• (registered 2024-03-08)Mar 15, 2024 · Advisor changed firm · fact
- A••••• T•••••• A•••• T••••••• left U•• F•••••••• S••••••• I••• for R•• C•••••• M••••••• L•• (registered 2023-03-22)Mar 27, 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
- Wirehousederived
- Years in industry
- 17derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address