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.
F••• C••••••• D•••
- W••••• E••••••••• A••••••• S•••••••• L•• BD affiliated currentsince Jan 2, 2026 · Baton Rouge, La
- D••• W••••• A••••••• formerNov 18, 2009 to Jan 5, 2026 · Baton Rouge, La
- R•••••• J•••• F•••••••• S••••••• A•••••••• I•• BD affiliatedJan 2, 2009 to Dec 14, 2009 · Saint Petersburg, Fl
- R•••••• J•••• F•••••••• S•••••••• I••• unclassifiedJun 22, 2007 to Jan 2, 2009 · Mclean, Va
- D••• W••••• A••••••• to W••••• E••••••••• A••••••• S•••••••• L••left Jan 5, 2026, registered Jan 2, 2026 (-3 days) · RIA to affiliated broker-dealer or bank · moved with a team
- R•••••• J•••• F•••••••• S••••••• A•••••••• I•• to D••• W••••• A•••••••left Dec 14, 2009, registered Nov 18, 2009 (-26 days) · Other
- R•••••• J•••• F•••••••• S•••••••• I••• to R•••••• J•••• F•••••••• S••••••• A•••••••• I••left Jan 2, 2009, registered Jan 2, 2009 (0 days) · corporate re-registration, not a move
- F••• C••••••• D••• left D••• W••••• A••••••• for W••••• E••••••••• A••••••• S•••••••• L•• (registered 2026-01-02)Jan 5, 2026 · Advisor changed firm · fact
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
- 38derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address