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•••• A•••••••• W••••
- C••••• I••••••••• A••••••• L•• BD affiliated currentsince Jun 29, 2023 · Salisbury, Md
- N••••••••• S••••••••• L•• no RAUMMar 26, 2018 to Oct 8, 2019 · Salisbury, Md
- C••••• A•••••• N••••••• L•• formerMar 23, 2015 to Dec 11, 2017 · Hebron, Md
- N••••••••• S••••••••• L•• no RAUMMar 12, 2013 to Jan 30, 2015 · Salisbury, Md
- V••• F•••••••• A•••••••• I••• BD affiliatedNov 27, 2012 to Dec 17, 2012 · Philadelphia, Pa
- N••••••••• S••••••••• L•• to C••••• I••••••••• A••••••• L••left Oct 8, 2019, registered Jun 29, 2023 (1360 days) · Other
- C••••• A•••••• N••••••• L•• to N••••••••• S••••••••• L••left Dec 11, 2017, registered Mar 26, 2018 (105 days) · Other
- N••••••••• S••••••••• L•• to C••••• A•••••• N••••••• L••left Jan 30, 2015, registered Mar 23, 2015 (52 days) · Other
- V••• F•••••••• A•••••••• I••• to N••••••••• S••••••••• L••left Dec 17, 2012, registered Mar 12, 2013 (85 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
- 13derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address