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••• C••••••• B••••••
- E•••••••• A•••••••• L•• national BD currentsince Mar 19, 2025 · Miami, Fl
- E•••••••• A•••••••• L•• national BDSep 28, 2021 to Oct 14, 2024 · Falls Church, Va
- M••••• L•• independent RIADec 12, 2018 to Sep 4, 2019 · Tysons Corner, Va
- P•• W••••• M••••••••• BD affiliatedOct 27, 2014 to Aug 6, 2015 · Fredericksburg, Va
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseDec 4, 2012 to Sep 16, 2014 · Dulles, Va
- N••••••••• S••••••••• L•• no RAUMApr 3, 2012 to Nov 19, 2012 · Grandview Heights, Oh
- B••• I••••••••• S•••••••• I••• formerJun 6, 2011 to Nov 2, 2011 · Centreville, Va
- W•••••• • R••• formerJul 24, 2009 to Dec 21, 2010 · Vienna, Va
- W•••• F•••• A••••••• wirehouseJun 24, 2008 to Jul 20, 2009 · Columbia, Md
- M••••• L•• to E•••••••• A•••••••• L••left Sep 4, 2019, registered Sep 28, 2021 (755 days) · RIA to affiliated broker-dealer or bank
- P•• W••••• M••••••••• to M••••• L••left Aug 6, 2015, registered Dec 12, 2018 (1224 days) · Other
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to P•• W••••• M•••••••••left Sep 16, 2014, registered Oct 27, 2014 (41 days) · Other
- N••••••••• S••••••••• L•• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••left Nov 19, 2012, registered Dec 4, 2012 (15 days) · Other
- B••• I••••••••• S•••••••• I••• to N••••••••• S••••••••• L••left Nov 2, 2011, registered Apr 3, 2012 (153 days) · Other
- W•••••• • R••• to B••• I••••••••• S•••••••• I•••left Dec 21, 2010, registered Jun 6, 2011 (167 days) · Other
- W•••• F•••• A••••••• to W•••••• • R•••left Jul 20, 2009, registered Jul 24, 2009 (4 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
- National broker-dealer RIAderived
- Years in industry
- 22derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address