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.
J••••••• H•••••••••
- S•••••• N••••••• • C••••••• I••••••••• national BD currentsince Apr 7, 2025 · Warrenton, Va
- B• R•••• W••••• A•••••••• I••• BD affiliatedAug 15, 2022 to Apr 7, 2025 · Warrenton, Va
- B• R•••• W••••• M••••••••• formerJul 27, 2021 to Dec 31, 2022 · Warrenton, Va
- T••••• A••••••• S•••••••• I••• BD affiliatedFeb 17, 2021 to Jul 27, 2021 · Atlanta, Ga
- B••• S••••••••• L•• formerJan 2, 2013 to Feb 17, 2021 · Warrenton, Va
- S•••• • S••••••••• L•• formerOct 12, 2007 to Jan 2, 2013 · Warrenton, Va
- C•••••••• G••••• M•••••• I••• BD affiliatedFeb 21, 2006 to Aug 22, 2007 · Mclean, Va
- L••• M•••• W••• W•••••• I••••••••• unclassifiedAug 15, 2003 to Feb 21, 2006 · Mclean, Va
- B• R•••• W••••• A•••••••• I••• to S•••••• N••••••• • C••••••• I•••••••••left Apr 7, 2025, registered Apr 7, 2025 (0 days) · corporate re-registration, not a move
- B• R•••• W••••• M••••••••• to B• R•••• W••••• A•••••••• I•••left Dec 31, 2022, registered Aug 15, 2022 (-138 days) · corporate re-registration, not a move
- T••••• A••••••• S•••••••• I••• to B• R•••• W••••• M•••••••••left Jul 27, 2021, registered Jul 27, 2021 (0 days) · Affiliated broker-dealer or bank to another · moved with a team
- B••• S••••••••• L•• to T••••• A••••••• S•••••••• I•••left Feb 17, 2021, registered Feb 17, 2021 (0 days) · corporate re-registration, not a move
- S•••• • S••••••••• L•• to B••• S••••••••• L••left Jan 2, 2013, registered Jan 2, 2013 (0 days) · corporate re-registration, not a move
- C•••••••• G••••• M•••••• I••• to S•••• • S••••••••• L••left Aug 22, 2007, registered Oct 12, 2007 (51 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
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
- 23derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address