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•••• J•••• M••••
- W•••••• P•••••• C•••••• independent RIA currentsince Feb 22, 2024 · West Friendship, Md
- K••••• F•••••••• G•••• I••• formerAug 2, 2022 to Dec 12, 2023 · Columbia, Md
- S•• W••••• M••••••••• independent RIAMar 25, 2022 to Jun 30, 2022 · Towson, Md
- C••••••••• F•••••••• N•••••• national BDJan 2, 2020 to Jun 30, 2021 · Severn, Md
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseFeb 7, 2018 to Nov 15, 2019 · Hunt Valley, Md
- R•••••• J•••• • A••••••••• I••• national BDSep 6, 2016 to Jan 16, 2018 · Hunt Valley, Md
- D••••••• B••• S••••••••• I••• no RAUMNov 18, 2015 to Sep 6, 2016 · Baltimore, Md
- K••••• F•••••••• G•••• I••• to W•••••• P•••••• C••••••left Dec 12, 2023, registered Feb 22, 2024 (72 days) · RIA to RIA
- S•• W••••• M••••••••• to K••••• F•••••••• G•••• I•••left Jun 30, 2022, registered Aug 2, 2022 (33 days) · RIA to RIA
- C••••••••• F•••••••• N•••••• to S•• W••••• M•••••••••left Jun 30, 2021, registered Mar 25, 2022 (268 days) · Affiliated broker-dealer or bank to independent RIA
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to C••••••••• F•••••••• N••••••left Nov 15, 2019, registered Jan 2, 2020 (48 days) · Wirehouse to affiliated broker-dealer or bank
- R•••••• J•••• • A••••••••• I••• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••left Jan 16, 2018, registered Feb 7, 2018 (22 days) · Affiliated broker-dealer or bank to wirehouse
- D••••••• B••• S••••••••• I••• to R•••••• J•••• • A••••••••• I•••left Sep 6, 2016, registered Sep 6, 2016 (0 days) · corporate re-registration, not a move
- T•••• J•••• M•••• left K••••• F•••••••• G•••• I••• for W•••••• P•••••• C•••••• (registered 2024-02-22)Dec 12, 2023 · Advisor changed firm · fact
- T•••• J•••• M•••• left S•• W••••• M••••••••• for K••••• F•••••••• G•••• I••• (registered 2022-08-02)Jun 30, 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
- Independent wealth managerderived
- Years in industry
- 11derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address