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.
L•••• A•• S•••••••
- S•••••• A•• W••• state registered currentsince Jul 31, 2023 · Crownsville, Md
- C•••••••• I••••••••• R••••••• A•••••••• I••• BD affiliatedMay 23, 2017 to Aug 3, 2023 · Annapolis, Md
- O•••• F•• I••• formerDec 9, 2014 to Jun 6, 2017 · Vienna, Va
- E•••••••• A•••••••• L•• national BDSep 30, 2011 to Dec 16, 2014 · Gambrills, Md
- P•••••• W••• F•••••••• C••••••••• I•• formerMar 11, 2009 to Dec 31, 2009 · Renton, Wa
- C•••••••• I••••••••• R••••••• A•••••••• I••• to S•••••• A•• W•••left Aug 3, 2023, registered Jul 31, 2023 (-3 days) · Affiliated broker-dealer or bank to a state-registered adviser
- O•••• F•• I••• to C•••••••• I••••••••• R••••••• A•••••••• I•••left Jun 6, 2017, registered May 23, 2017 (-14 days) · Other
- E•••••••• A•••••••• L•• to O•••• F•• I•••left Dec 16, 2014, registered Dec 9, 2014 (-7 days) · Other
- P•••••• W••• F•••••••• C••••••••• I•• to E•••••••• A•••••••• L••left Dec 31, 2009, registered Sep 30, 2011 (638 days) · Other
- L•••• A•• S••••••• left C•••••••• I••••••••• R••••••• A•••••••• I••• for S•••••• A•• W••• (registered 2023-07-31)Aug 3, 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
- STATE REGISTEREDderived
- Years in industry
- 28derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address