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.
R••••• T••• B••••
- L••••• W••••• M••••••••• I••• independent RIA currentsince Nov 6, 2023 · Manassas, Va
- A••••••••• F•••••••• S•••••••• L•• national BDOct 27, 2022 to Oct 25, 2023 · Woodbridge, Va
- H•••••••• A•••••••• L•• BD affiliatedFeb 28, 2022 to Oct 22, 2022 · Bethesda, Md
- E•••••• F•••••••• E•••••• independent RIAOct 12, 2018 to Mar 4, 2022 · Uniondale, Ny
- E•••••• F•••••••• S•••••••• L•• formerJun 11, 2014 to Nov 1, 2018 · Garden City, Ny
- A••••••••• F•••••••• S•••••••• L•• to L••••• W••••• M••••••••• I•••left Oct 25, 2023, registered Nov 6, 2023 (12 days) · Affiliated broker-dealer or bank to independent RIA
- H•••••••• A•••••••• L•• to A••••••••• F•••••••• S•••••••• L••left Oct 22, 2022, registered Oct 27, 2022 (5 days) · Affiliated broker-dealer or bank to another
- E•••••• F•••••••• E•••••• to H•••••••• A•••••••• L••left Mar 4, 2022, registered Feb 28, 2022 (-4 days) · RIA to affiliated broker-dealer or bank
- E•••••• F•••••••• S•••••••• L•• to E•••••• F•••••••• E••••••left Nov 1, 2018, registered Oct 12, 2018 (-20 days) · corporate re-registration, not a move
- R••••• T••• B•••• left A••••••••• F•••••••• S•••••••• L•• for L••••• W••••• M••••••••• I••• (registered 2023-11-06)Oct 25, 2023 · Advisor changed firm · fact
- R••••• T••• B•••• left H•••••••• A•••••••• L•• for A••••••••• F•••••••• S•••••••• L•• (registered 2022-10-27)Oct 22, 2022 · Advisor changed firm · fact
- R••••• T••• B•••• left E•••••• F•••••••• E•••••• for H•••••••• A•••••••• L•• (registered 2022-02-28)Mar 4, 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
- 24derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address