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.
G•••• R•••••• G•••••
- K••••• A••••••• S•••••••• L•• BD affiliated currentsince Aug 14, 2024 · Sykesville, Md
- O•••• F•• I••• formerJan 28, 2022 to Aug 16, 2024 · Sykesville, Md
- S•• W••••• M••••••••• independent RIASep 13, 2021 to Jan 31, 2022 · Towson, Md
- O•••• F•• I••• to K••••• A••••••• S•••••••• L••left Aug 16, 2024, registered Aug 14, 2024 (-2 days) · Affiliated broker-dealer or bank to another
- S•• W••••• M••••••••• to O•••• F•• I•••left Jan 31, 2022, registered Jan 28, 2022 (-3 days) · RIA to affiliated broker-dealer or bank
- G•••• R•••••• G••••• left O•••• F•• I••• for K••••• A••••••• S•••••••• L•• (registered 2024-08-14)Aug 16, 2024 · Advisor changed firm · fact
- G•••• R•••••• G••••• left S•• W••••• M••••••••• for O•••• F•• I••• (registered 2022-01-28)Jan 31, 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
- Broker-dealer affiliated wealth managerderived
- Years in industry
- 13derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address