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.
- F••••• I••••••••• independent RIA currentsince Feb 22, 2021 · Plano, Tx
- T• R••• P•••• A••••••• S•••••••• I••• BD affiliatedAug 8, 2019 to Nov 23, 2020 · Owings Mills, Md
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseAug 23, 2018 to May 28, 2019 · Hunt Valley, Md
- T• R••• P•••• A••••••• S•••••••• I••• to F••••• I•••••••••left Nov 23, 2020, registered Feb 22, 2021 (91 days) · RIA to RIA
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to T• R••• P•••• A••••••• S•••••••• I•••left May 28, 2019, registered Aug 8, 2019 (72 days) · Wirehouse to independent RIA · moved with a team
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
- 10derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address