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••••• B••••
- W••••• E••••••••• A••••••• S•••••••• L•• BD affiliated currentsince Jul 1, 2021 · New Market, Md
- L••••••••• W••••• M••••••••• formerJan 12, 2021 to Jul 23, 2021 · New Market, Md
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseSep 17, 2018 to May 2, 2019 · Frederick, Md
- L••••••••• W••••• M••••••••• to W••••• E••••••••• A••••••• S•••••••• L••left Jul 23, 2021, registered Jul 1, 2021 (-22 days) · RIA to affiliated broker-dealer or bank · moved with a team
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to L••••••••• W••••• M•••••••••left May 2, 2019, registered Jan 12, 2021 (621 days) · Wirehouse to independent RIA
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