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.
A••••• R•• S••••••
- A••••••••• F•••••••• S•••••••• L•• national BD currentsince Aug 26, 2025 · Millsboro, De
- C••••••••• F•••••••• N•••••• national BDJun 12, 2023 to Sep 11, 2025 · Milton, De
- C••••• I••••••••• A••••••• L•• BD affiliatedNov 12, 2020 to Dec 31, 2021 · Milford, De
- F•••• A••••• A••••••• S•••••••• I••• formerJul 2, 2012 to Nov 12, 2020 · Milford, De
- F•••• A••••• S••••••••• I••• formerFeb 23, 2009 to Jul 2, 2012 · Milford, De
- S•••••••• F••••••••• I••• formerOct 31, 2008 to Feb 27, 2009 · Milford, De
- A••••••• G•••••• S••••••••• I••••••••• unclassifiedJul 21, 2005 to Oct 31, 2008 · Milford, De
- C••••••••• F•••••••• N•••••• to A••••••••• F•••••••• S•••••••• L••left Sep 11, 2025, registered Aug 26, 2025 (-16 days) · Affiliated broker-dealer or bank to another
- C••••• I••••••••• A••••••• L•• to C••••••••• F•••••••• N••••••left Dec 31, 2021, registered Jun 12, 2023 (528 days) · Affiliated broker-dealer or bank to another
- F•••• A••••• A••••••• S•••••••• I••• to C••••• I••••••••• A••••••• L••left Nov 12, 2020, registered Nov 12, 2020 (0 days) · corporate re-registration, not a move
- F•••• A••••• S••••••••• I••• to F•••• A••••• A••••••• S•••••••• I•••left Jul 2, 2012, registered Jul 2, 2012 (0 days) · corporate re-registration, not a move
- S•••••••• F••••••••• I••• to F•••• A••••• S••••••••• I•••left Feb 27, 2009, registered Feb 23, 2009 (-4 days) · Other
- A••••••• G•••••• S••••••••• I••••••••• to S•••••••• F••••••••• I•••left Oct 31, 2008, registered Oct 31, 2008 (0 days) · corporate re-registration, not a move
- A••••• R•• S•••••• left C••••••••• F•••••••• N•••••• for A••••••••• F•••••••• S•••••••• L•• (registered 2025-08-26)Sep 11, 2025 · 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
- 25derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address