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.
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C•••••• L• P•••••••
- T• R••• P•••• A••••••• S•••••••• I••• BD affiliated currentsince May 15, 2023 · Owings Mills, Md
- O•••• F•• I••• formerJul 15, 2021 to Apr 5, 2023 · Hunt Valley, Md
- P••• A••••• S••••••••• L•• BD affiliatedNov 26, 2018 to Aug 13, 2021 · Towson, Md
- M••••• S•••••• wirehouseFeb 14, 2018 to Sep 6, 2018 · Baltimore, Md
- T• R••• P•••• A••••••• S•••••••• I••• BD affiliatedJun 9, 2014 to Apr 28, 2017 · Owings Mills, Md
- O•••• F•• I••• to T• R••• P•••• A••••••• S•••••••• I•••left Apr 5, 2023, registered May 15, 2023 (40 days) · Affiliated broker-dealer or bank to independent RIA
- P••• A••••• S••••••••• L•• to O•••• F•• I•••left Aug 13, 2021, registered Jul 15, 2021 (-29 days) · Affiliated broker-dealer or bank to another
- M••••• S•••••• to P••• A••••• S••••••••• L••left Sep 6, 2018, registered Nov 26, 2018 (81 days) · Wirehouse to affiliated broker-dealer or bank
- T• R••• P•••• A••••••• S•••••••• I••• to M••••• S••••••left Apr 28, 2017, registered Feb 14, 2018 (292 days) · Other
- C•••••• L• P••••••• left O•••• F•• I••• for T• R••• P•••• A••••••• S•••••••• I••• (registered 2023-05-15)Apr 5, 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
- 13derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address