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.
J••••• E••••
- W••••• E••••••••• A••••••• S•••••••• L•• BD affiliated currentsince Jul 31, 2019 · Plymouth, Mn
- P••••••• S•••••••• G••••• L•• formerJan 8, 2019 to Sep 10, 2019 · Fulton, Md
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseApr 11, 2017 to Jan 2, 2019 · Germantown, Md
- C•••••••• F••••••••• I••• BD affiliatedApr 14, 2016 to Mar 24, 2017 · Easton, Md
- A••••••• P••••••••• A•••••••• I•• formerNov 5, 2013 to Mar 15, 2016 · Holbrook, Ny
- F•••••••• A•••••••• L•• independent RIAAug 27, 2013 to Apr 18, 2016 · Chesapeake City, Md
- E•••••••• A•••••••• L•• national BDAug 29, 2012 to Aug 23, 2013 · Chesapeake City, Md
- P••••••• S•••••••• G••••• L•• to W••••• E••••••••• A••••••• S•••••••• L••left Sep 10, 2019, registered Jul 31, 2019 (-41 days) · RIA to affiliated broker-dealer or bank · moved with a team
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to P••••••• S•••••••• G••••• L••left Jan 2, 2019, registered Jan 8, 2019 (6 days) · Wirehouse to independent RIA
- C•••••••• F••••••••• I••• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••left Mar 24, 2017, registered Apr 11, 2017 (18 days) · Other
- F•••••••• A•••••••• L•• to A••••••• P••••••••• A•••••••• I••left Apr 18, 2016, registered Nov 5, 2013 (-895 days) · Other
- A••••••• P••••••••• A•••••••• I•• to C•••••••• F••••••••• I•••left Mar 15, 2016, registered Apr 14, 2016 (30 days) · Other
- E•••••••• A•••••••• L•• to F•••••••• A•••••••• L••left Aug 23, 2013, registered Aug 27, 2013 (4 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