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.
W•••••• G•••••
- S•••••••• A••••••• L•• national BD currentsince Mar 31, 2025 · Boulder, Co
- F••••••• P••••••• A•• W•••••••• A••••••• formerJul 13, 2018 to Mar 31, 2025 · Boston, Ma
- S•••••••• A••••••• L•• national BDNov 25, 2015 to Jul 13, 2018 · Ft. Lauderdale, Fl
- M•• F•••••••• S•••••••• I••• formerMay 6, 2014 to Sep 11, 2015 · Bellevue, Wa
- M•• F•••••••• S•••••••• I••• formerFeb 25, 2011 to Aug 28, 2012 · San Diego, Ca
- J••• H•••••• I••••••••• M••••••••• L•• asset managerDec 8, 2008 to Dec 31, 2010 · Chattanooga, Tn
- J••• H•••••• D••••••••• L•• unclassifiedOct 24, 2006 to Dec 31, 2006 · Boston, Ma
- A••••••••• F•••••••• S•••••••• L•• national BDJun 17, 2005 to Sep 12, 2006 · Rockville, Md
- F••••••• P••••••• A•• W•••••••• A••••••• to S•••••••• A••••••• L••left Mar 31, 2025, registered Mar 31, 2025 (0 days) · corporate re-registration, not a move
- S•••••••• A••••••• L•• to F••••••• P••••••• A•• W•••••••• A•••••••left Jul 13, 2018, registered Jul 13, 2018 (0 days) · corporate re-registration, not a move
- M•• F•••••••• S•••••••• I••• to S•••••••• A••••••• L••left Sep 11, 2015, registered Nov 25, 2015 (75 days) · Other
- J••• H•••••• I••••••••• M••••••••• L•• to M•• F•••••••• S•••••••• I•••left Dec 31, 2010, registered Feb 25, 2011 (56 days) · Other
- J••• H•••••• D••••••••• L•• to J••• H•••••• I••••••••• M••••••••• L••left Dec 31, 2006, registered Dec 8, 2008 (708 days) · Other
- A••••••••• F•••••••• S•••••••• L•• to J••• H•••••• D••••••••• L••left Sep 12, 2006, registered Oct 24, 2006 (42 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
- 21derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address