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•••• L••••••• W••••
- O••••••••• • C•• I••• BD affiliated currentsince May 10, 2021 · Washington, Dc
- U•• F•••••••• S••••••• I••• wirehouseNov 6, 2015 to May 20, 2021 · Mclean, Va
- M••••• S•••••• wirehouseJun 24, 2013 to Nov 17, 2015 · Bethesda, Md
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseJul 24, 2012 to Jun 11, 2013 · West Palm Beach, Fl
- U•• F•••••••• S••••••• I••• to O••••••••• • C•• I•••left May 20, 2021, registered May 10, 2021 (-10 days) · Wirehouse to affiliated broker-dealer or bank
- M••••• S•••••• to U•• F•••••••• S••••••• I•••left Nov 17, 2015, registered Nov 6, 2015 (-11 days) · Wirehouse to wirehouse
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to M••••• S••••••left Jun 11, 2013, registered Jun 24, 2013 (13 days) · Wirehouse to wirehouse
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