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.
M•••••• A••••••• G••••
- R•••••• J•••• • A••••••••• I••• national BD currentsince Jun 20, 2018 · Vienna, Va
- J••••• M••••••••• S•••• L•• BD affiliatedNov 20, 2017 to May 25, 2018 · Washington, Dc
- R•• C•••••• M••••••• L•• national BDSep 20, 2014 to Dec 7, 2017 · Rockville, Md
- J••••• M••••••••• S•••• L•• to R•••••• J•••• • A••••••••• I•••left May 25, 2018, registered Jun 20, 2018 (26 days) · Affiliated broker-dealer or bank to another
- R•• C•••••• M••••••• L•• to J••••• M••••••••• S•••• L••left Dec 7, 2017, registered Nov 20, 2017 (-17 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
- National broker-dealer RIAderived
- Years in industry
- 12derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address