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.
R•••••• E••••• K••••
- L•• F•••••••• L•• BD affiliated currentsince May 1, 2025 · Front Royal, Va
- G•••• P•••• A•••••••• L•• formerApr 1, 2021 to May 1, 2025 · Rockville, Md
- H• B•••• I••• formerDec 6, 2016 to Apr 1, 2021 · Front Royal, Va
- W•••• F•••• A••••••• wirehouseApr 25, 2008 to Nov 15, 2016 · Front Royal, Va
- O••••••••• A•••• M••••••••• BD affiliatedApr 15, 2003 to Dec 11, 2007 · New York, Ny
- O••••••••• • C•• I••• BD affiliatedJan 3, 2003 to Apr 25, 2008 · Front Royal, Va
- C••• W•••• M•••••• C•••• unclassifiedDec 5, 1998 to Jan 3, 2003 · New York, Ny
- G•••• P•••• A•••••••• L•• to L•• F•••••••• L••left May 1, 2025, registered May 1, 2025 (0 days) · corporate re-registration, not a move
- H• B•••• I••• to G•••• P•••• A•••••••• L••left Apr 1, 2021, registered Apr 1, 2021 (0 days) · corporate re-registration, not a move
- W•••• F•••• A••••••• to H• B•••• I•••left Nov 15, 2016, registered Dec 6, 2016 (21 days) · Other
- O••••••••• • C•• I••• to O••••••••• A•••• M•••••••••left Apr 25, 2008, registered Apr 15, 2003 (-1837 days) · Other
- O••••••••• A•••• M••••••••• to W•••• F•••• A•••••••left Dec 11, 2007, registered Apr 25, 2008 (136 days) · Other
- C••• W•••• M•••••• C•••• to O••••••••• • C•• I•••left Jan 3, 2003, registered Jan 3, 2003 (0 days) · corporate re-registration, not a move
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
- 44derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address