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.
E••• P••• W•••••
- R••••••••• C•••••• M••••••••• BD affiliated currentsince Oct 6, 2023 · Florham Park, Nj
- J••••• M••••••••• S•••• L•• BD affiliatedMay 4, 2015 to Oct 9, 2023 · Washington, Dc
- M••••• S•••••• wirehouseJan 15, 2010 to Apr 24, 2015 · Washington, Dc
- J••••• M••••••••• S•••• L•• to R••••••••• C•••••• M•••••••••left Oct 9, 2023, registered Oct 6, 2023 (-3 days) · Affiliated broker-dealer or bank to another
- M••••• S•••••• to J••••• M••••••••• S•••• L••left Apr 24, 2015, registered May 4, 2015 (10 days) · Other · moved with a team
- E••• P••• W••••• left J••••• M••••••••• S•••• L•• for R••••••••• C•••••• M••••••••• (registered 2023-10-06)Oct 9, 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
- Broker-dealer affiliated wealth managerderived
- Years in industry
- 16derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address