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.
J••• G• S•••••
- J••• M••••• S••••••••• L•• wirehouse currentsince Jul 27, 2023 · Washington, Dc
- S•• W••••• independent RIANov 1, 2022 to Jun 28, 2023 · Santa Monica, Ca
- B•••• A••••••• mixed wealthOct 7, 2016 to Dec 1, 2022 · Chevy Chase, Md
- F••••• N•••• F•••••• D•••••• I••••••••• independent RIAOct 2, 2014 to Jun 8, 2015 · Washington, Dc
- S•• W••••• to J••• M••••• S••••••••• L••left Jun 28, 2023, registered Jul 27, 2023 (29 days) · Affiliated broker-dealer or bank to wirehouse
- B•••• A••••••• to S•• W•••••left Dec 1, 2022, registered Nov 1, 2022 (-30 days) · RIA to RIA
- F••••• N•••• F•••••• D•••••• I••••••••• to B•••• A•••••••left Jun 8, 2015, registered Oct 7, 2016 (487 days) · Other
- J••• G• S••••• left S•• W••••• for J••• M••••• S••••••••• L•• (registered 2023-07-27)Jun 28, 2023 · Advisor changed firm · fact
- J••• G• S••••• left B•••• A••••••• for S•• W••••• (registered 2022-11-01)Dec 1, 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
- 12derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address