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.
C••••••••• M•••••• F••••
- S••••• W••••• M••••••••• state registered currentsince Jan 12, 2022 · Berlin, Md
- A••••••• S••••••• N•••••• independent RIAAug 19, 2021 to Dec 6, 2021 · Pasadena, Md
- K••••• A•••••••• I••• BD affiliatedJun 17, 2021 to Jul 20, 2021 · Pasadena, Md
- C•••••••• I••••••••• R••••••• A•••••••• I••• BD affiliatedJul 11, 2019 to Jun 17, 2021 · Pasadena, Md
- C•••••••• I••••••••• R••••••• A•••••••• I••• BD affiliatedSep 7, 2018 to Feb 19, 2019 · Severna Park, Md
- M•• I•••••••• S•••••••• L•• BD affiliatedMar 16, 2018 to Aug 3, 2018 · Elkridge, Md
- A••••••• S••••••• N•••••• to S••••• W••••• M•••••••••left Dec 6, 2021, registered Jan 12, 2022 (37 days) · RIA to a state-registered adviser
- K••••• A•••••••• I••• to A••••••• S••••••• N••••••left Jul 20, 2021, registered Aug 19, 2021 (30 days) · Affiliated broker-dealer or bank to independent RIA
- C•••••••• I••••••••• R••••••• A•••••••• I••• to K••••• A•••••••• I•••left Jun 17, 2021, registered Jun 17, 2021 (0 days) · Affiliated broker-dealer or bank to another
- M•• I•••••••• S•••••••• L•• to C•••••••• I••••••••• R••••••• A•••••••• I•••left Aug 3, 2018, registered Sep 7, 2018 (35 days) · Affiliated broker-dealer or bank to another
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
- STATE REGISTEREDderived
- Years in industry
- 11derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address