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•••••• A•••• W•••••
- C••••• I••••••••• A••••••• L•• BD affiliated currentsince Sep 8, 2025 · Sunrise, Fl
- L•• F•••••••• L•• BD affiliatedMay 19, 2022 to Oct 30, 2025 · Margate, Fl
- C••• B•••••••• S•••••••• I••• formerJun 1, 2021 to May 24, 2022 · Margate, Fl
- W••••• W•••• A•••••••• I•• independent RIASep 23, 2020 to May 24, 2021 · Boca Raton, Fl
- W•••• F•••• A••••••• wirehouseAug 19, 2015 to Apr 8, 2020 · Baltimore, Md
- P•••• S••••••••• L•• no RAUMMar 4, 2015 to Jul 10, 2015 · North Bethesda, Md
- E•••••••• A•••••••• L•• national BDFeb 13, 2015 to Feb 20, 2015 · Owings Mills, Md
- B••• O• A•••••• I••••••••• S•••••••• I••• unclassifiedOct 20, 2004 to Mar 18, 2005 · Charlotte, Nc
- Q•••• • R•••••• I••• unclassifiedJun 18, 2004 to Oct 20, 2004 · Charlotte, Nc
- L•• F•••••••• L•• to C••••• I••••••••• A••••••• L••left Oct 30, 2025, registered Sep 8, 2025 (-52 days) · Affiliated broker-dealer or bank to another
- C••• B•••••••• S•••••••• I••• to L•• F•••••••• L••left May 24, 2022, registered May 19, 2022 (-5 days) · corporate re-registration, not a move
- W••••• W•••• A•••••••• I•• to C••• B•••••••• S•••••••• I•••left May 24, 2021, registered Jun 1, 2021 (8 days) · RIA to affiliated broker-dealer or bank
- W•••• F•••• A••••••• to W••••• W•••• A•••••••• I••left Apr 8, 2020, registered Sep 23, 2020 (168 days) · Wirehouse to independent RIA
- P•••• S••••••••• L•• to W•••• F•••• A•••••••left Jul 10, 2015, registered Aug 19, 2015 (40 days) · Other
- E•••••••• A•••••••• L•• to P•••• S••••••••• L••left Feb 20, 2015, registered Mar 4, 2015 (12 days) · Other
- B••• O• A•••••• I••••••••• S•••••••• I••• to E•••••••• A•••••••• L••left Mar 18, 2005, registered Feb 13, 2015 (3619 days) · Other
- Q•••• • R•••••• I••• to B••• O• A•••••• I••••••••• S•••••••• I•••left Oct 20, 2004, registered Oct 20, 2004 (0 days) · corporate re-registration, not a move
- R•••••• A•••• W••••• left L•• F•••••••• L•• for C••••• I••••••••• A••••••• L•• (registered 2025-09-08)Oct 30, 2025 · 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
- 22derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address