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.
E••••• L• G•••
- S•••••••• A••••••• L•• national BD currentsince Mar 31, 2025 · Columbia, Md
- F••••••• P••••••• A•• W•••••••• A••••••• formerAug 6, 2021 to Mar 31, 2025 · Covington, Ky
- T• R••• P•••• A••••••• S•••••••• I••• BD affiliatedApr 7, 2021 to Jul 19, 2021 · Owings Mills, Md
- T• A••••••••• I••• formerMar 5, 2018 to Jan 11, 2021 · Columbia, Md
- T• A••••••••• I••••••••• M••••••••• L•• formerFeb 26, 2018 to Dec 31, 2020 · Omaha, Ne
- S•••••••• I••••••••• M••••••••• formerJun 20, 2017 to Feb 26, 2018 · Saint Louis, Mo
- 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
- T• R••• P•••• A••••••• S•••••••• I••• to F••••••• P••••••• A•• W•••••••• A•••••••left Jul 19, 2021, registered Aug 6, 2021 (18 days) · RIA to affiliated broker-dealer or bank · moved with a team
- T• A••••••••• I••• to T• R••• P•••• A••••••• S•••••••• I•••left Jan 11, 2021, registered Apr 7, 2021 (86 days) · Other
- T• A••••••••• I••••••••• M••••••••• L•• to T• A••••••••• I•••left Dec 31, 2020, registered Mar 5, 2018 (-1032 days) · corporate re-registration, not a move
- S•••••••• I••••••••• M••••••••• to T• A••••••••• I••••••••• M••••••••• L••left Feb 26, 2018, registered Feb 26, 2018 (0 days) · corporate re-registration, not a move
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
- 35derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address