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.
J•••••• S•••••
- S•••••••• A••••••• L•• national BD currentsince Mar 31, 2025 · Alexandria, Va
- F••••••• P••••••• A•• W•••••••• A••••••• formerJul 13, 2018 to Mar 31, 2025 · Boston, Ma
- S•••••••• A••••••• L•• national BDJan 17, 2014 to Jul 13, 2018 · Bethesda, Md
- L•• F•••••••• L•• BD affiliatedOct 11, 2011 to Feb 13, 2012 · Virginia Beach, Va
- U•••• F•••••••• S••••••• G••••• I••• unclassifiedMar 11, 2011 to Oct 11, 2011 · Virginia Beach, Va
- L•••• F••• A••••••• S••••••• BD affiliatedMar 14, 2008 to Mar 2, 2011 · Virginia Beach, Va
- A••••••••• A•••••• S•••••••• I••• unclassifiedApr 2, 2004 to Mar 14, 2008 · Virginia Beach, Va
- F••••••• P••••••• A•• W•••••••• A••••••• to S•••••••• A••••••• L••left Mar 31, 2025, registered Mar 31, 2025 (0 days) · corporate re-registration, not a move
- S•••••••• A••••••• L•• to F••••••• P••••••• A•• W•••••••• A•••••••left Jul 13, 2018, registered Jul 13, 2018 (0 days) · corporate re-registration, not a move
- L•• F•••••••• L•• to S•••••••• A••••••• L••left Feb 13, 2012, registered Jan 17, 2014 (704 days) · Other
- U•••• F•••••••• S••••••• G••••• I••• to L•• F•••••••• L••left Oct 11, 2011, registered Oct 11, 2011 (0 days) · corporate re-registration, not a move
- L•••• F••• A••••••• S••••••• to U•••• F•••••••• S••••••• G••••• I•••left Mar 2, 2011, registered Mar 11, 2011 (9 days) · Other
- A••••••••• A•••••• S•••••••• I••• to L•••• F••• A••••••• S•••••••left Mar 14, 2008, registered Mar 14, 2008 (0 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
- National broker-dealer RIAderived
- Years in industry
- 41derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address