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.
T•••••• O• M••••
- W•••• F•••• A••••••• wirehouse currentsince Oct 14, 2022 · Arlington, Va
- M••••••••• R••••••••• BD affiliatedAug 27, 2021 to Sep 27, 2022 · Washington, Dc
- P•• W••••• M••••••••• BD affiliatedNov 4, 2019 to Feb 17, 2021 · Falls Church, Va
- M••••• S•••••• wirehouseJan 23, 2018 to Oct 18, 2019 · Mclean, Va
- E••••• J•••• national BDMay 12, 2017 to May 30, 2017 · Virginia Beach, Va
- M••••••••• R••••••••• to W•••• F•••• A•••••••left Sep 27, 2022, registered Oct 14, 2022 (17 days) · Other
- P•• W••••• M••••••••• to M••••••••• R•••••••••left Feb 17, 2021, registered Aug 27, 2021 (191 days) · Other
- M••••• S•••••• to P•• W••••• M•••••••••left Oct 18, 2019, registered Nov 4, 2019 (17 days) · Wirehouse to affiliated broker-dealer or bank
- E••••• J•••• to M••••• S••••••left May 30, 2017, registered Jan 23, 2018 (238 days) · Affiliated broker-dealer or bank to wirehouse
- T•••••• O• M•••• left M••••••••• R••••••••• for W•••• F•••• A••••••• (registered 2022-10-14)Sep 27, 2022 · 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
- Wirehousederived
- Years in industry
- 13derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address