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.
H•••••••• S• S••••
- P••• A••••• S••••••••• L•• BD affiliated currentsince Oct 2, 2024 · Fort Worth, Tx
- M•• I•••••••• S•••••••• L•• BD affiliatedJan 11, 2023 to Jul 10, 2023 · Rockville, Md
- M•• I•••••••• S•••••••• L•• BD affiliatedOct 9, 2021 to Jun 14, 2022 · Mclean, Va
- C••••• I••••••••• A••••••• L•• BD affiliatedJun 19, 2019 to Sep 9, 2021 · Silver Spring, Md
- F•••••••• A••••••• S•••••••• L•• formerFeb 7, 2019 to Jun 25, 2019 · Silver Spring, Md
- O••••••••• S••••••••• I••• BD affiliatedMar 3, 2017 to Nov 6, 2018 · Reston, Va
- E•••• S••••••••• L•• BD affiliatedNov 8, 2011 to Apr 3, 2017 · Vienna, Va
- W•••••• • R••• formerAug 4, 2008 to Jan 26, 2011 · Vienna, Va
- A••••••••• F•••••••• S•••••••• L•• national BDMay 24, 1996 to Apr 28, 2006 · Denver, Co
- M•• I•••••••• S•••••••• L•• to P••• A••••• S••••••••• L••left Jul 10, 2023, registered Oct 2, 2024 (450 days) · Affiliated broker-dealer or bank to another
- C••••• I••••••••• A••••••• L•• to M•• I•••••••• S•••••••• L••left Sep 9, 2021, registered Oct 9, 2021 (30 days) · Affiliated broker-dealer or bank to another
- F•••••••• A••••••• S•••••••• L•• to C••••• I••••••••• A••••••• L••left Jun 25, 2019, registered Jun 19, 2019 (-6 days) · corporate re-registration, not a move
- O••••••••• S••••••••• I••• to F•••••••• A••••••• S•••••••• L••left Nov 6, 2018, registered Feb 7, 2019 (93 days) · Affiliated broker-dealer or bank to another
- E•••• S••••••••• L•• to O••••••••• S••••••••• I•••left Apr 3, 2017, registered Mar 3, 2017 (-31 days) · Other
- W•••••• • R••• to E•••• S••••••••• L••left Jan 26, 2011, registered Nov 8, 2011 (286 days) · Other
- A••••••••• F•••••••• S•••••••• L•• to W•••••• • R•••left Apr 28, 2006, registered Aug 4, 2008 (829 days) · Other
- H•••••••• S• S•••• left M•• I•••••••• S•••••••• L•• for P••• A••••• S••••••••• L•• (registered 2024-10-02)Jul 10, 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
- Broker-dealer affiliated wealth managerderived
- Years in industry
- 30derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address