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••••••• D•••• P••••
- O•••• W•••••• I••• BD affiliated currentsince Sep 1, 2023 · Reisterstown, Md
- S•••••••• F••••••••• I••• formerAug 29, 2022 to Sep 1, 2023 · Pikesville, Md
- O•••• F•• I••• formerMar 12, 2015 to Sep 2, 2022 · Boca Raton, Fl
- S•••••••• F••••••••• I••• to O•••• W•••••• I•••left Sep 1, 2023, registered Sep 1, 2023 (0 days) · corporate re-registration, not a move
- O•••• F•• I••• to S•••••••• F••••••••• I•••left Sep 2, 2022, registered Aug 29, 2022 (-4 days) · Affiliated broker-dealer or bank to another
- J••••••• D•••• P•••• left O•••• F•• I••• for S•••••••• F••••••••• I••• (registered 2022-08-29)Sep 2, 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
- 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