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.
D••••• S••• M••••••
- C•••••••• C•••••• L•• state registered currentsince Jan 14, 2021 · Pikesville, Md
- M••••• F••• W••••• M••••••••• L•• independent RIADec 2, 2014 to Jan 5, 2021 · Alexandria, Va
- E•••• S••••••••• L•• BD affiliatedOct 31, 2013 to Dec 4, 2014 · Bethesda, Md
- C•••••••• I••••••••• R••••••• A•••••••• I••• BD affiliatedJun 11, 2012 to Sep 10, 2013 · Rockville, Md
- S••••••• F•••••••• S•••••••• I••• formerJan 5, 2011 to Jun 12, 2012 · Rockville, Md
- M••••• F••• W••••• M••••••••• L•• to C•••••••• C•••••• L••left Jan 5, 2021, registered Jan 14, 2021 (9 days) · RIA to a state-registered adviser · moved with a team
- E•••• S••••••••• L•• to M••••• F••• W••••• M••••••••• L••left Dec 4, 2014, registered Dec 2, 2014 (-2 days) · Other
- C•••••••• I••••••••• R••••••• A•••••••• I••• to E•••• S••••••••• L••left Sep 10, 2013, registered Oct 31, 2013 (51 days) · Other
- S••••••• F•••••••• S•••••••• I••• to C•••••••• I••••••••• R••••••• A•••••••• I•••left Jun 12, 2012, registered Jun 11, 2012 (-1 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
- STATE REGISTEREDderived
- Years in industry
- 15derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address