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.
S••• C• B•••••
- S•••••••• A••••••• L•• national BD currentsince Mar 31, 2025 · Odenton, Md
- F••••••• P••••••• A•• W•••••••• A••••••• formerSep 11, 2020 to Mar 31, 2025 · Annapolis, Md
- G•••• J••••••• W••••• A••••••• independent RIAOct 17, 2019 to Jun 3, 2020 · Owings Mills, Md
- C••••••••• S••••••••• L•• BD affiliatedOct 12, 2016 to Oct 11, 2019 · Owings Mills, Md
- S•••••••• F••••••••• I••• formerMar 26, 2015 to Jan 12, 2016 · Baltimore, Md
- F••••••• P••••••• A•• W•••••••• A••••••• to S•••••••• A••••••• L••left Mar 31, 2025, registered Mar 31, 2025 (0 days) · corporate re-registration, not a move
- G•••• J••••••• W••••• A••••••• to F••••••• P••••••• A•• W•••••••• A•••••••left Jun 3, 2020, registered Sep 11, 2020 (100 days) · RIA to affiliated broker-dealer or bank
- C••••••••• S••••••••• L•• to G•••• J••••••• W••••• A•••••••left Oct 11, 2019, registered Oct 17, 2019 (6 days) · Affiliated broker-dealer or bank to independent RIA
- S•••••••• F••••••••• I••• to C••••••••• S••••••••• L••left Jan 12, 2016, registered Oct 12, 2016 (274 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
- 12derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address