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•••••• E•••• S•••••
- A••••••••• F•••••••• S•••••••• L•• national BD currentsince Nov 24, 2023 · Woodbridge, Va
- T••••• A••••••• S•••••••• I••• BD affiliatedSep 27, 2016 to Oct 4, 2023 · Arlington, Va
- S••••••• I••••••••• S•••••••• I••• formerMar 4, 2013 to Dec 31, 2016 · Arlington, Va
- H••• S••••••••• •••• I••• BD affiliatedJan 4, 2008 to Jan 22, 2013 · Alexandria, Va
- B••• I••••••••• S•••••••• I••• formerMay 29, 2007 to Nov 15, 2007 · Charlotte, Nc
- V•••• F•••••••• A•••••••• I••• BD affiliatedAug 11, 2003 to Sep 28, 2006 · Centreville, Va
- T••••• A••••••• S•••••••• I••• to A••••••••• F•••••••• S•••••••• L••left Oct 4, 2023, registered Nov 24, 2023 (51 days) · Affiliated broker-dealer or bank to another
- S••••••• I••••••••• S•••••••• I••• to T••••• A••••••• S•••••••• I•••left Dec 31, 2016, registered Sep 27, 2016 (-95 days) · corporate re-registration, not a move
- H••• S••••••••• •••• I••• to S••••••• I••••••••• S•••••••• I•••left Jan 22, 2013, registered Mar 4, 2013 (41 days) · Other
- B••• I••••••••• S•••••••• I••• to H••• S••••••••• •••• I•••left Nov 15, 2007, registered Jan 4, 2008 (50 days) · Other
- V•••• F•••••••• A•••••••• I••• to B••• I••••••••• S•••••••• I•••left Sep 28, 2006, registered May 29, 2007 (243 days) · Other
- C•••••• E•••• S••••• left T••••• A••••••• S•••••••• I••• for A••••••••• F•••••••• S•••••••• L•• (registered 2023-11-24)Oct 4, 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
- 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