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•••••••• C••••••••
- C•••••• S••••• • C••• I••• national BD currentsince Jun 17, 2019 · Columbia, Md
- T• R••• P•••• A••••••• S•••••••• I••• BD affiliatedAug 20, 2014 to May 24, 2019 · Owings Mills, Md
- P•••• S••••••••• L•• no RAUMNov 9, 2010 to Jul 17, 2014 · Hunt Valley, Md
- T• R••• P•••• A••••••• S•••••••• I••• to C•••••• S••••• • C••• I•••left May 24, 2019, registered Jun 17, 2019 (24 days) · RIA to affiliated broker-dealer or bank
- P•••• S••••••••• L•• to T• R••• P•••• A••••••• S•••••••• I•••left Jul 17, 2014, registered Aug 20, 2014 (34 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
- National broker-dealer RIAderived
- Years in industry
- 16derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address