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.
L••••• N••••••• C••••••
- R•••••• J•••• • A••••••••• I••• national BD currentsince Apr 1, 2025 · Rockville, Md
- A••••• A•• P••••••• S••••••• BD affiliatedNov 1, 2022 to Dec 24, 2024 · Marriottsville, Md
- J••• M••••• S••••••••• L•• wirehouseOct 4, 2019 to Oct 7, 2022 · Washington, Dc
- M••••• S•••••• wirehouseMay 23, 2016 to Oct 1, 2019 · Potomac, Md
- P•••• S••••••••• L•• no RAUMSep 10, 2015 to May 17, 2016 · North Bethesda, Md
- A••••• A•• P••••••• S••••••• to R•••••• J•••• • A••••••••• I•••left Dec 24, 2024, registered Apr 1, 2025 (98 days) · Affiliated broker-dealer or bank to another
- J••• M••••• S••••••••• L•• to A••••• A•• P••••••• S•••••••left Oct 7, 2022, registered Nov 1, 2022 (25 days) · Wirehouse to affiliated broker-dealer or bank
- M••••• S•••••• to J••• M••••• S••••••••• L••left Oct 1, 2019, registered Oct 4, 2019 (3 days) · Wirehouse to wirehouse
- P•••• S••••••••• L•• to M••••• S••••••left May 17, 2016, registered May 23, 2016 (6 days) · Other
- L••••• N••••••• C•••••• no longer holds an investment adviser registration (last listed at R•••••• J•••• • A••••••••• I••• on the 2026-09-14 feed)Sep 14, 2026 · Advisor registration ended · derived
- L••••• N••••••• C•••••• left A••••• A•• P••••••• S••••••• for R•••••• J•••• • A••••••••• I••• (registered 2025-04-01)Dec 24, 2024 · Advisor changed firm · fact
- L••••• N••••••• C•••••• left J••• M••••• S••••••••• L•• for A••••• A•• P••••••• S••••••• (registered 2022-11-01)Oct 7, 2022 · 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
- 11derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address