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.
B•••••• W• O•••••
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouse currentsince Jun 2, 2021 · Hunt Valley, Md
- P•••• S••••••••• L•• no RAUMSep 22, 2020 to May 3, 2021 · North Bethesda, Md
- E•••• S••••••••• L•• BD affiliatedApr 14, 2020 to Sep 22, 2020 · Timonium, Md
- S••••••• G••••• F•••••••• A•••••••• L•• unclassifiedFeb 23, 2017 to Dec 13, 2019 · Tampa, Fl
- C•••••• S••••••••• M••••••••• I••• independent RIAOct 30, 2015 to Mar 21, 2016 · Reston, Va
- P•••• S••••••••• L•• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••left May 3, 2021, registered Jun 2, 2021 (30 days) · Affiliated broker-dealer or bank to wirehouse
- E•••• S••••••••• L•• to P•••• S••••••••• L••left Sep 22, 2020, registered Sep 22, 2020 (0 days) · Affiliated broker-dealer or bank to another
- S••••••• G••••• F•••••••• A•••••••• L•• to E•••• S••••••••• L••left Dec 13, 2019, registered Apr 14, 2020 (123 days) · Other
- C•••••• S••••••••• M••••••••• I••• to S••••••• G••••• F•••••••• A•••••••• L••left Mar 21, 2016, registered Feb 23, 2017 (339 days) · Other
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
- 10derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address