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.
C••• M••••• D•••••
- L•• E••••••••• L•• BD affiliated currentsince Nov 14, 2024 · Rockville, Md
- P•••• S••••••••• L•• no RAUMJul 19, 2023 to Nov 14, 2024 · North Bethesda, Md
- M••••• L•• independent RIAOct 6, 2021 to Jul 26, 2023 · Radnor, Pa
- P•••• S••••••••• L•• to L•• E••••••••• L••left Nov 14, 2024, registered Nov 14, 2024 (0 days) · corporate re-registration, not a move
- M••••• L•• to P•••• S••••••••• L••left Jul 26, 2023, registered Jul 19, 2023 (-7 days) · RIA to affiliated broker-dealer or bank
- C••• M••••• D••••• left M••••• L•• for P•••• S••••••••• L•• (registered 2023-07-19)Jul 26, 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
- Broker-dealer affiliated wealth managerderived
- Years in industry
- 12derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address