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.
S•••••• J••••• H•••••
- C•••••••• G••••• M•••••• I••• BD affiliated currentsince Apr 12, 2024 · Rockville, Md
- P•• W••••• M••••••••• BD affiliatedFeb 13, 2023 to Dec 12, 2023 · Potomac, Md
- W•••• F•••• A••••••• wirehouseMar 18, 2014 to Jan 18, 2023 · Washington, Dc
- P•• W••••• M••••••••• to C•••••••• G••••• M•••••• I•••left Dec 12, 2023, registered Apr 12, 2024 (122 days) · Affiliated broker-dealer or bank to another
- W•••• F•••• A••••••• to P•• W••••• M•••••••••left Jan 18, 2023, registered Feb 13, 2023 (26 days) · Wirehouse to affiliated broker-dealer or bank
- S•••••• J••••• H••••• left P•• W••••• M••••••••• for C•••••••• G••••• M•••••• I••• (registered 2024-04-12)Dec 12, 2023 · Advisor changed firm · fact
- S•••••• J••••• H••••• left W•••• F•••• A••••••• for P•• W••••• M••••••••• (registered 2023-02-13)Jan 18, 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
- 16derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address