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.
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D•••• E•••• A•••••
- L•• F•••••••• L•• BD affiliated currentsince May 18, 2022 · Woodbridge, Va
- C••• B•••••••• S•••••••• I••• formerFeb 15, 2022 to May 18, 2022 · Woodbridge, Va
- M•• I•••••••• S•••••••• L•• BD affiliatedJan 28, 2021 to Jan 19, 2022 · Mechanicsburg, Pa
- N••• F•••••• A•••• M••••••••• L•• formerSep 8, 2007 to Jan 4, 2017 · Herndon, Va
- N••• F•••••• I••••••••• S•••••••• L•• BD affiliatedJan 25, 2007 to Feb 4, 2019 · Dale City, Va
- C••• B•••••••• S•••••••• I••• to L•• F•••••••• L••left May 18, 2022, registered May 18, 2022 (0 days) · corporate re-registration, not a move
- M•• I•••••••• S•••••••• L•• to C••• B•••••••• S•••••••• I•••left Jan 19, 2022, registered Feb 15, 2022 (27 days) · Affiliated broker-dealer or bank to another
- N••• F•••••• I••••••••• S•••••••• L•• to N••• F•••••• A•••• M••••••••• L••left Feb 4, 2019, registered Sep 8, 2007 (-4167 days) · Other
- N••• F•••••• A•••• M••••••••• L•• to M•• I•••••••• S•••••••• L••left Jan 4, 2017, registered Jan 28, 2021 (1485 days) · Other
- D•••• E•••• A••••• left M•• I•••••••• S•••••••• L•• for C••• B•••••••• S•••••••• I••• (registered 2022-02-15)Jan 19, 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
- Broker-dealer affiliated wealth managerderived
- Years in industry
- 22derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address