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.
S•••• E•••••••• W••••
- S•••••• N••••••• • C••••••• I••••••••• national BD currentsince Feb 22, 2024 · Baltimore, Md
- T• R••• P•••• A••••••• S•••••••• I••• BD affiliatedJun 5, 2019 to Apr 7, 2022 · Owings Mills, Md
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseJul 6, 2018 to Jan 22, 2019 · Hunt Valley, Md
- T• R••• P•••• A••••••• S•••••••• I••• to S•••••• N••••••• • C••••••• I•••••••••left Apr 7, 2022, registered Feb 22, 2024 (686 days) · RIA to affiliated broker-dealer or bank
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to T• R••• P•••• A••••••• S•••••••• I•••left Jan 22, 2019, registered Jun 5, 2019 (134 days) · Wirehouse to independent RIA
- S•••• E•••••••• W•••• left T• R••• P•••• A••••••• S•••••••• I••• for S•••••• N••••••• • C••••••• I••••••••• (registered 2024-02-22)Apr 7, 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
- National broker-dealer RIAderived
- Years in industry
- 13derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address