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••••• L•••• J•••
- L•• F•••••••• L•• BD affiliated currentsince May 1, 2025 · Seattle, Wa
- G•••• P•••• A•••••••• L•• formerApr 1, 2021 to May 1, 2025 · Rockville, Md
- H• B•••• I••• formerNov 30, 2012 to Apr 1, 2021 · Rockville, Md
- W••••••• F•••••••• S•••••••• I••• formerDec 23, 2009 to Nov 30, 2012 · Seattle, Wa
- I••••• F•••••••• C••••••••• formerMar 25, 2009 to Apr 2, 2009 · Lynnwood, Wa
- T••••••••• F•••••••• A•••••••• L•• BD affiliatedDec 12, 2002 to Dec 24, 2009 · St. Petersburg, Fl
- C••••• A•••• M••••••••• L•• unclassifiedSep 10, 2002 to Dec 14, 2002 · Pompton Lakes, Nj
- G•••• P•••• A•••••••• L•• to L•• F•••••••• L••left May 1, 2025, registered May 1, 2025 (0 days) · corporate re-registration, not a move
- H• B•••• I••• to G•••• P•••• A•••••••• L••left Apr 1, 2021, registered Apr 1, 2021 (0 days) · corporate re-registration, not a move
- W••••••• F•••••••• S•••••••• I••• to H• B•••• I•••left Nov 30, 2012, registered Nov 30, 2012 (0 days) · Other
- T••••••••• F•••••••• A•••••••• L•• to I••••• F•••••••• C•••••••••left Dec 24, 2009, registered Mar 25, 2009 (-274 days) · Other
- I••••• F•••••••• C••••••••• to W••••••• F•••••••• S•••••••• I•••left Apr 2, 2009, registered Dec 23, 2009 (265 days) · Other
- C••••• A•••• M••••••••• L•• to T••••••••• F•••••••• A•••••••• L••left Dec 14, 2002, registered Dec 12, 2002 (-2 days) · Other
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
- Broker-dealer affiliated wealth managerderived
- Years in industry
- 32derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address