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.
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L•••• F•••••••• H•••••
- V••• I••••••••• M••••••••• C•• L•• asset manager currentsince Oct 20, 2025 · New York, Ny
- C••••••• S••••••••• I••• BD affiliatedApr 5, 2024 to Oct 22, 2025 · Severna Park, Md
- A••••• A•• P••••••• S••••••• BD affiliatedApr 21, 2009 to Oct 6, 2023 · Washington, Dc
- B••• O• A•••••• I••••••••• S•••••••• I••• unclassifiedJan 5, 2009 to Apr 2, 2009 · Annapolis, Md
- B••• A•••••••• L•• formerApr 8, 2005 to Dec 31, 2008 · Boston, Ma
- B•••• D••••••••• L•• unclassifiedJan 1, 2003 to Apr 18, 2005 · Charlotte, Nc
- S••••••• BD affiliatedDec 31, 2001 to Jan 1, 2003 · Charlotte , Nc
- C••••••• S••••••••• I••• to V••• I••••••••• M••••••••• C•• L••left Oct 22, 2025, registered Oct 20, 2025 (-2 days) · Other
- A••••• A•• P••••••• S••••••• to C••••••• S••••••••• I•••left Oct 6, 2023, registered Apr 5, 2024 (182 days) · Affiliated broker-dealer or bank to another
- B••• O• A•••••• I••••••••• S•••••••• I••• to A••••• A•• P••••••• S•••••••left Apr 2, 2009, registered Apr 21, 2009 (19 days) · Other
- B••• A•••••••• L•• to B••• O• A•••••• I••••••••• S•••••••• I•••left Dec 31, 2008, registered Jan 5, 2009 (5 days) · Other
- B•••• D••••••••• L•• to B••• A•••••••• L••left Apr 18, 2005, registered Apr 8, 2005 (-10 days) · Other
- S••••••• to B•••• D••••••••• L••left Jan 1, 2003, registered Jan 1, 2003 (0 days) · Other
- L•••• F•••••••• H••••• left C••••••• S••••••••• I••• for V••• I••••••••• M••••••••• C•• L•• (registered 2025-10-20)Oct 22, 2025 · Advisor changed firm · fact
- L•••• F•••••••• H••••• left A••••• A•• P••••••• S••••••• for C••••••• S••••••••• I••• (registered 2024-04-05)Oct 6, 2023 · 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
- Asset manager (funds and pooled vehicles)derived
- Years in industry
- 33derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address