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.
A••••• D•••• M••••
- L•• E••••••••• L•• BD affiliated currentsince Nov 14, 2024 · North Bethesda, Md
- P•••• S••••••••• L•• no RAUMFeb 12, 2019 to Nov 14, 2024 · North Bethesda, Md
- T••••• A••••••• S•••••••• I••• BD affiliatedSep 21, 2016 to Apr 27, 2017 · Reston, Va
- S••••••• I••••••••• S•••••••• I••• formerApr 24, 2015 to Dec 31, 2016 · Reston, Va
- W•••• F•••• A••••••• wirehouseJul 28, 2014 to Apr 27, 2015 · Columbia, Md
- B••• I••••••••• S•••••••• I••• formerNov 5, 2012 to Jun 2, 2014 · Arlington, Va
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseMar 13, 2012 to Nov 6, 2012 · North Bethesda, Md
- P•••• S••••••••• L•• to L•• E••••••••• L••left Nov 14, 2024, registered Nov 14, 2024 (0 days) · corporate re-registration, not a move
- T••••• A••••••• S•••••••• I••• to P•••• S••••••••• L••left Apr 27, 2017, registered Feb 12, 2019 (656 days) · Other
- S••••••• I••••••••• S•••••••• I••• to T••••• A••••••• S•••••••• I•••left Dec 31, 2016, registered Sep 21, 2016 (-101 days) · corporate re-registration, not a move
- W•••• F•••• A••••••• to S••••••• I••••••••• S•••••••• I•••left Apr 27, 2015, registered Apr 24, 2015 (-3 days) · Other
- B••• I••••••••• S•••••••• I••• to W•••• F•••• A•••••••left Jun 2, 2014, registered Jul 28, 2014 (56 days) · Other
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to B••• I••••••••• S•••••••• I•••left Nov 6, 2012, registered Nov 5, 2012 (-1 days) · Wirehouse to a newly registered adviser (no RAUM reported yet)
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