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.
B•••• D•••• B••••• S•••••
- L•• F•••••••• L•• BD affiliated currentsince May 1, 2025 · Carefree, Az
- G•••• P•••• A•••••••• L•• formerApr 1, 2021 to May 1, 2025 · Rockville, Md
- H• B•••• I••• formerMay 22, 2009 to Apr 1, 2021 · Rockville, Md
- W•••• F•••• A••••••• wirehouseDec 16, 2005 to Apr 16, 2009 · Scottsdale, Az
- C••••••• W••••• • C•• formerDec 31, 1997 to Dec 19, 2005 · Laguna Hills, Ca
- 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 Apr 16, 2009, registered May 22, 2009 (36 days) · Other
- C••••••• W••••• • C•• to W•••• F•••• A•••••••left Dec 19, 2005, registered Dec 16, 2005 (-3 days) · Other
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
- 42derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address