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.
J••••• F•••••••• W••••••••
- W•••• F•••• A••••••• wirehouse currentsince Oct 25, 2024 · Mclean, Va
- A•• F•••••••• W••••• M••••••••• L•• independent RIAApr 21, 2021 to Mar 7, 2022 · Leesburg, Va
- R•••••• J•••• F•••••••• S••••••• A•••••••• I•• BD affiliatedJul 10, 2020 to Dec 17, 2020 · Towson, Md
- S••••••••• formerMay 24, 2018 to Jan 27, 2020 · Fulton, Md
- M•••• C••••••• A••••••• S•••••• BD affiliatedJan 21, 2011 to Dec 31, 2012 · F••••••••, Md
- W•••••• • R••• formerOct 1, 2010 to Nov 3, 2010 · Owings Mills, Md
- A•• F•••••••• W••••• M••••••••• L•• to W•••• F•••• A•••••••left Mar 7, 2022, registered Oct 25, 2024 (963 days) · RIA to wirehouse
- R•••••• J•••• F•••••••• S••••••• A•••••••• I•• to A•• F•••••••• W••••• M••••••••• L••left Dec 17, 2020, registered Apr 21, 2021 (125 days) · Affiliated broker-dealer or bank to independent RIA
- S••••••••• to R•••••• J•••• F•••••••• S••••••• A•••••••• I••left Jan 27, 2020, registered Jul 10, 2020 (165 days) · RIA to affiliated broker-dealer or bank
- M•••• C••••••• A••••••• S•••••• to S•••••••••left Dec 31, 2012, registered May 24, 2018 (1970 days) · Other
- W•••••• • R••• to M•••• C••••••• A••••••• S••••••left Nov 3, 2010, registered Jan 21, 2011 (79 days) · Other
- J••••• F•••••••• W•••••••• left A•• F•••••••• W••••• M••••••••• L•• for W•••• F•••• A••••••• (registered 2024-10-25)Mar 7, 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
- 15derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address