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•••••• A• T•••••
- S•••••••• A••••••• L•• national BD currentsince Mar 31, 2025 · Lake Ridge, Va
- F••••••• P••••••• A•• W•••••••• A••••••• formerJul 8, 2021 to Mar 31, 2025 · Lake Ridge, Va
- A••••••••• F•••••••• S•••••••• L•• national BDSep 5, 2019 to Jun 22, 2020 · Lake Ridge, Va
- S••••••• F•••••••• S•••••••• I••• formerJan 11, 2018 to Aug 19, 2019 · Bowie, Md
- E•••••• F•••••••• S•••••••• L•• formerMar 19, 2013 to Sep 15, 2016 · Fairfax, Va
- L•• F•••••••• L•• BD affiliatedApr 23, 2008 to Aug 13, 2012 · Herndon, Va
- S••••••• I••••••••• S•••••••• I••• formerApr 22, 2004 to Jan 16, 2007 · Alexandria, Va
- B••• O• A•••••• I••••••••• S•••••••• I••• unclassifiedNov 5, 2003 to Apr 16, 2004 · Mclean, 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
- A••••••••• F•••••••• S•••••••• L•• to F••••••• P••••••• A•• W•••••••• A•••••••left Jun 22, 2020, registered Jul 8, 2021 (381 days) · Affiliated broker-dealer or bank to another
- S••••••• F•••••••• S•••••••• I••• to A••••••••• F•••••••• S•••••••• L••left Aug 19, 2019, registered Sep 5, 2019 (17 days) · Affiliated broker-dealer or bank to another
- E•••••• F•••••••• S•••••••• L•• to S••••••• F•••••••• S•••••••• I•••left Sep 15, 2016, registered Jan 11, 2018 (483 days) · Other
- L•• F•••••••• L•• to E•••••• F•••••••• S•••••••• L••left Aug 13, 2012, registered Mar 19, 2013 (218 days) · Other
- S••••••• I••••••••• S•••••••• I••• to L•• F•••••••• L••left Jan 16, 2007, registered Apr 23, 2008 (463 days) · Other
- B••• O• A•••••• I••••••••• S•••••••• I••• to S••••••• I••••••••• S•••••••• I•••left Apr 16, 2004, registered Apr 22, 2004 (6 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
- 26derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address