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•••••• A••• B••••••
- R••••• F••••••••• L•• independent RIA currentsince Jan 7, 2026 · Melbourne, Fl
- S••••••• W••••• M••••••••• unclassifiedAug 23, 2023 to May 8, 2026 · New Orleans, La
- E•••••• C•••••• A••••••••• mixed wealthApr 9, 2020 to Aug 22, 2023 · New Orleans, La
- U••••• B•••••••• S••••••• I•• BD affiliatedAug 16, 2018 to Mar 8, 2019 · Bethesda, Md
- U•• F•••••••• S••••••• I••• wirehouseNov 18, 2008 to Aug 22, 2018 · Annapolis, Md
- M••••• S•••••• • C•• L•• unclassifiedApr 2, 2007 to Nov 24, 2008 · Washington, Dc
- M••••• S•••••• D• I••• unclassifiedJul 12, 2002 to Apr 2, 2007 · Washington, Dc
- C•••••••• G••••• M•••••• I••• BD affiliatedJan 17, 2001 to Jul 19, 2002 · Washington, Dc
- S••••••• W••••• M••••••••• to R••••• F••••••••• L••left May 8, 2026, registered Jan 7, 2026 (-121 days) · Other
- E•••••• C•••••• A••••••••• to S••••••• W••••• M•••••••••left Aug 22, 2023, registered Aug 23, 2023 (1 days) · Other
- U••••• B•••••••• S••••••• I•• to E•••••• C•••••• A•••••••••left Mar 8, 2019, registered Apr 9, 2020 (398 days) · Other
- U•• F•••••••• S••••••• I••• to U••••• B•••••••• S••••••• I••left Aug 22, 2018, registered Aug 16, 2018 (-6 days) · Wirehouse to independent RIA
- M••••• S•••••• • C•• L•• to U•• F•••••••• S••••••• I•••left Nov 24, 2008, registered Nov 18, 2008 (-6 days) · corporate re-registration, not a move
- M••••• S•••••• D• I••• to M••••• S•••••• • C•• L••left Apr 2, 2007, registered Apr 2, 2007 (0 days) · corporate re-registration, not a move
- C•••••••• G••••• M•••••• I••• to M••••• S•••••• D• I•••left Jul 19, 2002, registered Jul 12, 2002 (-7 days) · Other
- S•••••• A••• B•••••• left S••••••• W••••• M••••••••• for R••••• F••••••••• L•• (registered 2026-01-07)May 8, 2026 · Advisor changed firm · fact
- S•••••• A••• B•••••• left E•••••• C•••••• A••••••••• for S••••••• W••••• M••••••••• (registered 2023-08-23)Aug 22, 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
- Independent wealth managerderived
- Years in industry
- 26derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address