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••••• W••••• L•••••
- L•• F•••••••• L•• BD affiliated currentsince May 5, 2025 · Wellington, Fl
- G•••• P•••• A•••••••• L•• formerApr 1, 2021 to May 2, 2025 · Rockville, Md
- H• B•••• I••• formerOct 29, 2018 to Apr 1, 2021 · Rockville, Md
- W•••••• • R••• formerFeb 2, 2012 to Oct 31, 2018 · Charleroi, Pa
- A••••••••• F•••••••• S•••••••• L•• national BDDec 10, 2008 to Feb 3, 2012 · Aventura, Fl
- S•••••• N••••••• • C••••••• I••••••••• national BDJul 31, 2007 to Dec 5, 2008 · Palm Beach Gardens, Fl
- R••• B••• • C•• unclassifiedJan 10, 2003 to Jul 31, 2007 · Palm Beach Gardens, Fl
- P••••••••• E••••• G••••• L•• unclassifiedDec 14, 2000 to Jan 10, 2003 · North Palm Beach, Fl
- G•••• P•••• A•••••••• L•• to L•• F•••••••• L••left May 2, 2025, registered May 5, 2025 (3 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•••••• • R••• to H• B•••• I•••left Oct 31, 2018, registered Oct 29, 2018 (-2 days) · Affiliated broker-dealer or bank to another · moved with a team
- A••••••••• F•••••••• S•••••••• L•• to W•••••• • R•••left Feb 3, 2012, registered Feb 2, 2012 (-1 days) · Other
- S•••••• N••••••• • C••••••• I••••••••• to A••••••••• F•••••••• S•••••••• L••left Dec 5, 2008, registered Dec 10, 2008 (5 days) · Affiliated broker-dealer or bank to another
- R••• B••• • C•• to S•••••• N••••••• • C••••••• I•••••••••left Jul 31, 2007, registered Jul 31, 2007 (0 days) · corporate re-registration, not a move
- P••••••••• E••••• G••••• L•• to R••• B••• • C••left Jan 10, 2003, registered Jan 10, 2003 (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
- Broker-dealer affiliated wealth managerderived
- Years in industry
- 29derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address