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••••• R•••••• O• L••••
- K••• P••••• L•• independent RIA currentsince Nov 17, 2022 · Mclean, Virginia, Va
- V•••• F•••••••• A•••••••• I••• BD affiliatedDec 16, 2010 to Nov 22, 2022 · Linthicum Heights, Md
- C•••••••• G••••• M•••••• I••• BD affiliatedFeb 21, 2006 to Jan 7, 2009 · Richmond, Va
- L••• M•••• W••• W•••••• I••••••••• unclassifiedJul 12, 2002 to Feb 21, 2006 · Richmond, Va
- S•••• • S••••••••• L•• formerAug 31, 1998 to Jul 22, 2002 · Richmond, Va
- V•••• F•••••••• A•••••••• I••• to K••• P••••• L••left Nov 22, 2022, registered Nov 17, 2022 (-5 days) · Affiliated broker-dealer or bank to independent RIA
- C•••••••• G••••• M•••••• I••• to V•••• F•••••••• A•••••••• I•••left Jan 7, 2009, registered Dec 16, 2010 (708 days) · Other
- L••• M•••• W••• W•••••• I••••••••• to C•••••••• G••••• M•••••• I•••left Feb 21, 2006, registered Feb 21, 2006 (0 days) · corporate re-registration, not a move
- S•••• • S••••••••• L•• to L••• M•••• W••• W•••••• I•••••••••left Jul 22, 2002, registered Jul 12, 2002 (-10 days) · Other
- S••••• R•••••• O• L•••• left V•••• F•••••••• A•••••••• I••• for K••• P••••• L•• (registered 2022-11-17)Nov 22, 2022 · 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
- Independent wealth managerderived
- Years in industry
- 31derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address