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.
G••••• W•••••• P•••••••
- P•••• C•••••• F•••••••• mixed wealth currentsince Jan 20, 2023 · Tallahassee, Fl
- C••••••••• F•••••••• N•••••• national BDAug 9, 2022 to Nov 30, 2022 · Waltham, Ma
- K••••• A••••••• S•••••••• L•• BD affiliatedOct 19, 2021 to Aug 9, 2022 · Frederick, Md
- P•••••• F•••••••• unclassifiedNov 6, 2020 to Dec 31, 2021 · Baltimore, Md
- W•••••• • W••• F••••• O••••• state registeredMar 12, 2018 to Jun 22, 2020 · Columbia, Md
- T• A••••••••• I••••••••• M••••••••• L•• formerOct 17, 2014 to Aug 16, 2017 · Lutherville, Md
- T• A••••••••• I••• formerOct 15, 2014 to Aug 16, 2017 · Towson, Md
- T• R••• P•••• A••••••• S•••••••• I••• BD affiliatedJan 29, 2013 to Oct 16, 2014 · Owings Mills, Md
- C••••••••• F•••••••• N•••••• to P•••• C•••••• F••••••••left Nov 30, 2022, registered Jan 20, 2023 (51 days) · Affiliated broker-dealer or bank to independent RIA
- K••••• A••••••• S•••••••• L•• to C••••••••• F•••••••• N••••••left Aug 9, 2022, registered Aug 9, 2022 (0 days) · Affiliated broker-dealer or bank to another
- P•••••• F•••••••• to K••••• A••••••• S•••••••• L••left Dec 31, 2021, registered Oct 19, 2021 (-73 days) · Other
- W•••••• • W••• F••••• O••••• to P•••••• F••••••••left Jun 22, 2020, registered Nov 6, 2020 (137 days) · Other
- T• A••••••••• I••• to T• A••••••••• I••••••••• M••••••••• L••left Aug 16, 2017, registered Oct 17, 2014 (-1034 days) · channel change inside one enterprise, not a move
- T• A••••••••• I••••••••• M••••••••• L•• to W•••••• • W••• F••••• O•••••left Aug 16, 2017, registered Mar 12, 2018 (208 days) · Other
- T• R••• P•••• A••••••• S•••••••• I••• to T• A••••••••• I•••left Oct 16, 2014, registered Oct 15, 2014 (-1 days) · Other
- G••••• W•••••• P••••••• left C••••••••• F•••••••• N•••••• for P•••• C•••••• F•••••••• (registered 2023-01-20)Nov 30, 2022 · Advisor changed firm · fact
- G••••• W•••••• P••••••• left K••••• A••••••• S•••••••• L•• for C••••••••• F•••••••• N•••••• (registered 2022-08-09)Aug 9, 2022 · 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
- Wealth manager with institutional or fund businessderived
- Years in industry
- 13derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address