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.
K•••• P••••••• T•• W••••
- B••••••• F•••••••• P••••••• independent RIA currentsince Sep 22, 2023 · Rixeyville, Va
- L•• F•••••••• L•• BD affiliatedOct 25, 2007 to Sep 26, 2023 · Rixeyville, Va
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseMay 8, 2006 to Oct 23, 2007 · Washington, Dc
- R•••••• J•••• • A••••••••• I••• national BDJul 30, 2003 to May 4, 2006 · Washington , Dc
- L•• F•••••••• L•• to B••••••• F•••••••• P•••••••left Sep 26, 2023, registered Sep 22, 2023 (-4 days) · Affiliated broker-dealer or bank to independent RIA
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to L•• F•••••••• L••left Oct 23, 2007, registered Oct 25, 2007 (2 days) · Other
- R•••••• J•••• • A••••••••• I••• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••left May 4, 2006, registered May 8, 2006 (4 days) · Affiliated broker-dealer or bank to wirehouse
- K•••• P••••••• T•• W•••• left L•• F•••••••• L•• for B••••••• F•••••••• P••••••• (registered 2023-09-22)Sep 26, 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
- Independent wealth managerderived
- Years in industry
- 23derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address