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.
A•••••• M••••••••
- J••••• M••••••••• S•••• L•• BD affiliated currentsince Feb 16, 2021 · Fountain Inn, Sc
- W•••• F•••• A••••••• wirehouseJan 29, 2019 to Mar 3, 2021 · Baltimore, Md
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseJul 31, 2018 to Jan 17, 2019 · Hunt Valley, Md
- A••••••••• F•••••••• S•••••••• L•• national BDAug 25, 2015 to Nov 11, 2016 · Bethesda, Md
- V•••• F•••••••• A•••••••• I••• BD affiliatedJan 23, 2015 to Aug 20, 2015 · Linthicum Heights, Md
- W•••• F•••• A••••••• to J••••• M••••••••• S•••• L••left Mar 3, 2021, registered Feb 16, 2021 (-15 days) · Wirehouse to affiliated broker-dealer or bank
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to W•••• F•••• A•••••••left Jan 17, 2019, registered Jan 29, 2019 (12 days) · Wirehouse to wirehouse
- A••••••••• F•••••••• S•••••••• L•• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••left Nov 11, 2016, registered Jul 31, 2018 (627 days) · Affiliated broker-dealer or bank to wirehouse
- V•••• F•••••••• A•••••••• I••• to A••••••••• F•••••••• S•••••••• L••left Aug 20, 2015, registered Aug 25, 2015 (5 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
- 11derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address