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.
B•••• J••••• C••••••
- L•• F•••••••• L•• BD affiliated currentsince May 26, 2021 · Hanover, Md
- E•••••• C•••••• M••••••••• L•• formerJul 26, 2019 to Apr 19, 2021 · Washington, Dc
- T• A••••••••• I••••••••• M••••••••• L•• formerFeb 15, 2017 to Feb 25, 2019 · North Bethesda, Md
- T• A••••••••• I••• formerFeb 15, 2017 to Feb 25, 2019 · Potomac, Md
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseMar 30, 2015 to Feb 2, 2017 · Pennington, Nj
- E•••••• C•••••• M••••••••• L•• to L•• F•••••••• L••left Apr 19, 2021, registered May 26, 2021 (37 days) · RIA to affiliated broker-dealer or bank
- T• A••••••••• I••• to T• A••••••••• I••••••••• M••••••••• L••left Feb 25, 2019, registered Feb 15, 2017 (-740 days) · channel change inside one enterprise, not a move
- T• A••••••••• I••••••••• M••••••••• L•• to E•••••• C•••••• M••••••••• L••left Feb 25, 2019, registered Jul 26, 2019 (151 days) · RIA to RIA
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to T• A••••••••• I•••left Feb 2, 2017, registered Feb 15, 2017 (13 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