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•••••• J•• L••
- R•••••• J•••• F•••••••• S••••••• A•••••••• I•• BD affiliated currentsince Jan 2, 2009 · Columbia, Md
- L•• F•••••••• G••••• I••• state registered currentsince Jun 14, 2006 · Columbia, Md
- W••••••••• L•• state registered currentsince Jan 4, 2006 · Columbia, Md
- F•••••••• F•••• A•••••••• I••• state registeredFeb 11, 2003 to Apr 21, 2006 · Columbia, Md
- C••••••••• F•••••••• N•••••• national BDMar 7, 2001 to Apr 26, 2004 · Columbia, Md
- F•••••••• F•••• A•••••••• I••• to W••••••••• L••left Apr 21, 2006, registered Jan 4, 2006 (-107 days) · Other
- C••••••••• F•••••••• N•••••• to F•••••••• F•••• A•••••••• I•••left Apr 26, 2004, registered Feb 11, 2003 (-440 days) · Affiliated broker-dealer or bank to a state-registered adviser
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
- STATE REGISTEREDderived
- Years in industry
- 40derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address