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•••••• W•••••• L••••
- M••••• S•••••• wirehouse currentsince Oct 8, 2021 · Washington, Dc
- U•• F•••••••• S••••••• I••• wirehouseAug 4, 2020 to Nov 2, 2021 · Washington, Dc
- J••••• M••••••••• S•••• L•• BD affiliatedDec 26, 2017 to Jan 20, 2020 · Washington, Dc
- U•• F•••••••• S••••••• I••• to M••••• S••••••left Nov 2, 2021, registered Oct 8, 2021 (-25 days) · Wirehouse to wirehouse · moved with a team
- J••••• M••••••••• S•••• L•• to U•• F•••••••• S••••••• I•••left Jan 20, 2020, registered Aug 4, 2020 (197 days) · Affiliated broker-dealer or bank to wirehouse
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
- 10derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address