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.
C•••••• L••••• H•••
- A••••••••• F•••••••• S•••••••• L•• national BD currentsince Jan 29, 2025 · Ocean City, Md
- L•• F•••••••• L•• BD affiliatedNov 14, 2024 to Feb 11, 2025 · Oceanview, De
- P•• W••••• M••••••••• BD affiliatedMar 13, 2012 to Oct 25, 2024 · Abingdon, Md
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseJun 20, 2011 to Feb 23, 2012 · Rehoboth Beach, De
- S••••••• I••••••••• S•••••••• I••• formerJun 30, 2010 to Jun 28, 2011 · Salisbury, Md
- P•• W••••• M••••••••• BD affiliatedDec 18, 2009 to Jul 2, 2010 · Ocean City, Md
- L•• F•••••••• L•• to A••••••••• F•••••••• S•••••••• L••left Feb 11, 2025, registered Jan 29, 2025 (-13 days) · Affiliated broker-dealer or bank to another
- P•• W••••• M••••••••• to L•• F•••••••• L••left Oct 25, 2024, registered Nov 14, 2024 (20 days) · Affiliated broker-dealer or bank to another
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to P•• W••••• M•••••••••left Feb 23, 2012, registered Mar 13, 2012 (19 days) · Other
- S••••••• I••••••••• S•••••••• I••• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••left Jun 28, 2011, registered Jun 20, 2011 (-8 days) · Other
- P•• W••••• M••••••••• to S••••••• I••••••••• S•••••••• I•••left Jul 2, 2010, registered Jun 30, 2010 (-2 days) · Other
- C•••••• L••••• H••• left L•• F•••••••• L•• for A••••••••• F•••••••• S•••••••• L•• (registered 2025-01-29)Feb 11, 2025 · Advisor changed firm · fact
- C•••••• L••••• H••• left P•• W••••• M••••••••• for L•• F•••••••• L•• (registered 2024-11-14)Oct 25, 2024 · 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
- National broker-dealer RIAderived
- Years in industry
- 29derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address