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.
C•••••• D••••
- J••• M••••• S••••••••• L•• wirehouse currentsince Mar 25, 2024 · South Charleston, Wv
- C••••• I••••••••• A••••••• L•• BD affiliatedJun 1, 2018 to Apr 1, 2019 · Vancouver, Wa
- C•••••• O•• A•••••••• L•• formerOct 20, 2016 to May 22, 2018 · Annandale, Va
- U••••• C•••••• F•••••••• A••••••• independent RIAJul 3, 2014 to Oct 20, 2016 · Bethesda, Md
- C••••• I••••••••• A••••••• L•• to J••• M••••• S••••••••• L••left Apr 1, 2019, registered Mar 25, 2024 (1820 days) · Affiliated broker-dealer or bank to wirehouse
- C•••••• O•• A•••••••• L•• to C••••• I••••••••• A••••••• L••left May 22, 2018, registered Jun 1, 2018 (10 days) · Affiliated broker-dealer or bank to another
- U••••• C•••••• F•••••••• A••••••• to C•••••• O•• A•••••••• L••left Oct 20, 2016, registered Oct 20, 2016 (0 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
- Wirehousederived
- Years in industry
- 12derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address