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.
R•••• T•••••
- J••• M••••• S••••••••• L•• wirehouse currentsince Dec 8, 2023 · Baltimore, Md
- T••••• A••••••• S•••••••• I••• BD affiliatedOct 14, 2020 to Oct 10, 2023 · King Of Prussia, Pa
- B••• S••••••••• L•• formerJan 2, 2018 to Feb 17, 2021 · Charlotte, Nc
- B••• I••••••••• S•••••••• I••• formerJul 3, 2014 to Jan 2, 2018 · Charlotte, Nc
- G•••• J••••••• W••••• A••••••• independent RIASep 21, 2012 to Jun 30, 2014 · Owings Mills, Md
- T••••• A••••••• S•••••••• I••• to J••• M••••• S••••••••• L••left Oct 10, 2023, registered Dec 8, 2023 (59 days) · Affiliated broker-dealer or bank to wirehouse
- B••• S••••••••• L•• to T••••• A••••••• S•••••••• I•••left Feb 17, 2021, registered Oct 14, 2020 (-126 days) · corporate re-registration, not a move
- B••• I••••••••• S•••••••• I••• to B••• S••••••••• L••left Jan 2, 2018, registered Jan 2, 2018 (0 days) · corporate re-registration, not a move
- G•••• J••••••• W••••• A••••••• to B••• I••••••••• S•••••••• I•••left Jun 30, 2014, registered Jul 3, 2014 (3 days) · Other
- R•••• T••••• left T••••• A••••••• S•••••••• I••• for J••• M••••• S••••••••• L•• (registered 2023-12-08)Oct 10, 2023 · 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
- Wirehousederived
- Years in industry
- 13derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address