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.
N••••••• A•••••• I•••••
- L•• F•••••••• L•• BD affiliated currentsince Aug 6, 2024 · San Diego, Ca
- C••••••••• F•••••••• N•••••• national BDFeb 20, 2015 to Jul 31, 2024 · Columbia, Md
- P••••••• S•••••••• G••••• L•• formerJul 8, 2014 to Jan 7, 2015 · Fulton, Md
- C••••••••• F•••••••• N•••••• to L•• F•••••••• L••left Jul 31, 2024, registered Aug 6, 2024 (6 days) · Affiliated broker-dealer or bank to another
- P••••••• S•••••••• G••••• L•• to C••••••••• F•••••••• N••••••left Jan 7, 2015, registered Feb 20, 2015 (44 days) · Other
- N••••••• A•••••• I••••• left C••••••••• F•••••••• N•••••• for L•• F•••••••• L•• (registered 2024-08-06)Jul 31, 2024 · 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
- 13derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address