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.
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- T• R••• P•••• A••••••• S•••••••• I••• BD affiliated currentsince Oct 2, 2019 · Owings Mills, Md
- N••••••••• I••••••••• A•••••••• L•• BD affiliatedJul 17, 2019 to Sep 25, 2019 · Columbus, Oh
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseApr 24, 2018 to Jul 6, 2018 · Hunt Valley, Md
- T• R••• P•••• A••••••• S•••••••• I••• BD affiliatedAug 25, 2016 to Oct 9, 2017 · Mclean, Va
- N••••••••• I••••••••• A•••••••• L•• to T• R••• P•••• A••••••• S•••••••• I•••left Sep 25, 2019, registered Oct 2, 2019 (7 days) · Affiliated broker-dealer or bank to independent RIA
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to N••••••••• I••••••••• A•••••••• L••left Jul 6, 2018, registered Jul 17, 2019 (376 days) · Wirehouse to affiliated broker-dealer or bank
- T• R••• P•••• A••••••• S•••••••• I••• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••left Oct 9, 2017, registered Apr 24, 2018 (197 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