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•••••• A• M••••••
- E••••• J•••• national BD currentsince Nov 14, 2024 · Winchester, Va
- M••••• S•••••• wirehouseMar 31, 2023 to Nov 14, 2024 · Reston, Va
- C•••••••• F••••••••• I••• BD affiliatedSep 15, 2020 to Apr 3, 2023 · Glen Allen, Va
- M••••• S•••••• to E••••• J••••left Nov 14, 2024, registered Nov 14, 2024 (0 days) · Wirehouse to affiliated broker-dealer or bank
- C•••••••• F••••••••• I••• to M••••• S••••••left Apr 3, 2023, registered Mar 31, 2023 (-3 days) · Affiliated broker-dealer or bank to wirehouse
- S•••••• A• M•••••• left M••••• S•••••• for E••••• J•••• (registered 2024-11-14)Nov 14, 2024 · Advisor changed firm · fact
- S•••••• A• M•••••• left C•••••••• F••••••••• I••• for M••••• S•••••• (registered 2023-03-31)Apr 3, 2023 · 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
- 12derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address