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••••• M••••• B••••
- J••• M••••• S••••••••• L•• wirehouse currentsince Sep 18, 2024 · Baltimore, Md
- B•••• A••••••• mixed wealthDec 2, 2022 to Jan 6, 2024 · Baltimore, Md
- B•••• A••••••• S••••••••• L•• formerOct 24, 2019 to Dec 31, 2022 · Baltimore, Md
- M••••• S•••••• wirehouseJan 29, 2016 to Oct 9, 2019 · Baltimore, Md
- B•••• A••••••• to J••• M••••• S••••••••• L••left Jan 6, 2024, registered Sep 18, 2024 (256 days) · RIA to wirehouse
- B•••• A••••••• S••••••••• L•• to B•••• A•••••••left Dec 31, 2022, registered Dec 2, 2022 (-29 days) · channel change inside one enterprise, not a move
- M••••• S•••••• to B•••• A••••••• S••••••••• L••left Oct 9, 2019, registered Oct 24, 2019 (15 days) · Wirehouse to independent RIA
- T••••• M••••• B•••• left B•••• A••••••• for J••• M••••• S••••••••• L•• (registered 2024-09-18)Jan 6, 2024 · 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
- 11derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address