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•••••• K•••••• J•••••
- P•• W••••• M••••••••• BD affiliated currentsince May 26, 2023 · Hershey, Pa
- M••••• F••• W••••• M••••••••• L•• independent RIADec 24, 2020 to Feb 17, 2023 · Alexandria, Va
- M•• I•••••••• S•••••••• L•• BD affiliatedApr 25, 2018 to Apr 27, 2018 · Rockville, Md
- J••••• F•••••••• M••••••••• unclassifiedJun 30, 2014 to Jun 28, 2016 · Hyattsville, Md
- S••••••• I••••••••• S•••••••• I••• formerJun 12, 2013 to Oct 8, 2013 · Rockville, Md
- M••••• S•••••• wirehouseNov 8, 2011 to Sep 26, 2012 · Bethesda, Md
- M••••• F••• W••••• M••••••••• L•• to P•• W••••• M•••••••••left Feb 17, 2023, registered May 26, 2023 (98 days) · RIA to affiliated broker-dealer or bank
- M•• I•••••••• S•••••••• L•• to M••••• F••• W••••• M••••••••• L••left Apr 27, 2018, registered Dec 24, 2020 (972 days) · Affiliated broker-dealer or bank to independent RIA
- J••••• F•••••••• M••••••••• to M•• I•••••••• S•••••••• L••left Jun 28, 2016, registered Apr 25, 2018 (666 days) · Other
- S••••••• I••••••••• S•••••••• I••• to J••••• F•••••••• M•••••••••left Oct 8, 2013, registered Jun 30, 2014 (265 days) · Other
- M••••• S•••••• to S••••••• I••••••••• S•••••••• I•••left Sep 26, 2012, registered Jun 12, 2013 (259 days) · Other
- W•••••• K•••••• J••••• left M••••• F••• W••••• M••••••••• L•• for P•• W••••• M••••••••• (registered 2023-05-26)Feb 17, 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
- 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