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•••••• C••••
- A••••• A•• P••••••• S••••••• BD affiliated currentsince Jan 25, 2022 · Fairfax, Va
- A••••• A•• P••••••• S••••••• BD affiliatedNov 30, 2018 to Nov 13, 2020 · Bethesda, Md
- P•• W••••• M••••••••• BD affiliatedJul 18, 2013 to Nov 1, 2018 · Centreville, Va
- F•••••••• G••••• I••••••••• M••••••••• C•••• asset managerOct 31, 2011 to Dec 31, 2012 · New York, Ny
- F•••••••• I••••••••• C••••••••• institutionalOct 6, 2011 to Jun 26, 2013 · Pittsburgh, Pa
- M•• A•••••••• A• D••••••• O• F•••••••• M••• L•• asset managerOct 6, 2011 to Jun 26, 2013 · Boston, Ma
- F•••••••• S••••••••• C•••• no RAUMOct 6, 2011 to Jun 26, 2013 · Pittsburgh, Pa
- P•• W••••• M••••••••• to A••••• A•• P••••••• S•••••••left Nov 1, 2018, registered Nov 30, 2018 (29 days) · Affiliated broker-dealer or bank to another
- F•••••••• I••••••••• C••••••••• to F•••••••• S••••••••• C••••left Jun 26, 2013, registered Oct 6, 2011 (-629 days) · channel change inside one enterprise, not a move
- M•• A•••••••• A• D••••••• O• F•••••••• M••• L•• to F•••••••• I••••••••• C•••••••••left Jun 26, 2013, registered Oct 6, 2011 (-629 days) · channel change inside one enterprise, not a move
- F•••••••• S••••••••• C•••• to F•••••••• G••••• I••••••••• M••••••••• C••••left Jun 26, 2013, registered Oct 31, 2011 (-604 days) · channel change inside one enterprise, not a move
- F•••••••• G••••• I••••••••• M••••••••• C•••• to P•• W••••• M•••••••••left Dec 31, 2012, registered Jul 18, 2013 (199 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
- Broker-dealer affiliated wealth managerderived
- Years in industry
- 14derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address