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.
S••••• K•••••• U••••••
- C•••••• S••••• • C••• I••• national BD currentsince Jan 3, 2024 · Bethesda, Md
- U••• I••••••••• S••••••• C•••••• no RAUMJan 8, 2018 to May 24, 2020 · San Antonio, Tx
- U••• F•••••••• P••••••• S••••••• formerSep 18, 2013 to Jan 8, 2018 · Vienna, Va
- P••••••• independent RIAJan 28, 2011 to Sep 3, 2013 · Vienna, Va
- M••••• S•••••• wirehouseJun 1, 2009 to Feb 7, 2011 · Alexandria, Va
- C•••••••• G••••• M•••••• I••• BD affiliatedMar 30, 2007 to Jun 1, 2009 · Alexandria, Va
- S•••••••• A••••••• L•• national BDJan 14, 2003 to Apr 4, 2007 · Mclean, Va
- U••• I••••••••• S••••••• C•••••• to C•••••• S••••• • C••• I•••left May 24, 2020, registered Jan 3, 2024 (1319 days) · corporate re-registration, not a move
- U••• F•••••••• P••••••• S••••••• to U••• I••••••••• S••••••• C••••••left Jan 8, 2018, registered Jan 8, 2018 (0 days) · corporate re-registration, not a move
- P••••••• to U••• F•••••••• P••••••• S•••••••left Sep 3, 2013, registered Sep 18, 2013 (15 days) · Other
- M••••• S•••••• to P•••••••left Feb 7, 2011, registered Jan 28, 2011 (-10 days) · Other
- C•••••••• G••••• M•••••• I••• to M••••• S••••••left Jun 1, 2009, registered Jun 1, 2009 (0 days) · corporate re-registration, not a move
- S•••••••• A••••••• L•• to C•••••••• G••••• M•••••• I•••left Apr 4, 2007, registered Mar 30, 2007 (-5 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
- 36derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address