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.
W•••••• J••• A•••••
- A•••• I••••••••• G•••• independent RIA currentsince May 31, 2022 · Annapolis, Md
- A•••• C•••••• independent RIA currentsince Nov 10, 2021 · Wayne, Pa
- H•••••• T••••••• • K•••• L•• independent RIAJun 5, 2018 to Oct 11, 2021 · Towson, Md
- M•• I•••••••• S•••••••• L•• BD affiliatedJul 19, 2016 to Feb 8, 2018 · Hunt Valley, Md
- P••• A••••• S••••••••• L•• BD affiliatedJan 19, 2012 to May 3, 2016 · Annapolis, Md
- H•••••• T••••••• • K•••• L•• to A•••• C••••••left Oct 11, 2021, registered Nov 10, 2021 (30 days) · Affiliated broker-dealer or bank to independent RIA
- M•• I•••••••• S•••••••• L•• to H•••••• T••••••• • K•••• L••left Feb 8, 2018, registered Jun 5, 2018 (117 days) · Other
- P••• A••••• S••••••••• L•• to M•• I•••••••• S•••••••• L••left May 3, 2016, registered Jul 19, 2016 (77 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
- Independent wealth managerderived
- Years in industry
- 14derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address