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.
C•••••• A•• S•••••
- M•••••• • N••••• A•••••••• L•• mixed wealth currentsince Sep 21, 2021 · Fairport, Ny
- R•• C•••••• M••••••• L•• national BDJul 19, 2016 to Aug 10, 2021 · Westminster, Md
- O•••• F•• I••• formerFeb 3, 2014 to Jul 19, 2016 · Vienna, Va
- S•••••••• A••••••• L•• national BDFeb 13, 2013 to Jan 29, 2014 · Wilmington, De
- R•• C•••••• M••••••• L•• to M•••••• • N••••• A•••••••• L••left Aug 10, 2021, registered Sep 21, 2021 (42 days) · Affiliated broker-dealer or bank to independent RIA
- O•••• F•• I••• to R•• C•••••• M••••••• L••left Jul 19, 2016, registered Jul 19, 2016 (0 days) · Other
- S•••••••• A••••••• L•• to O•••• F•• I•••left Jan 29, 2014, registered Feb 3, 2014 (5 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
- Wealth manager with institutional or fund businessderived
- Years in industry
- 14derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address