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.
D•••• A•••••••
- V•••• F•••••••• A•••••••• I••• BD affiliated currentsince Oct 7, 2025 · Houston, Tx
- L•• F•••••••• L•• BD affiliatedMay 2, 2025 to Sep 25, 2025 · Doylestown, Pa
- P•••••••• S••••••••• I••• BD affiliatedDec 18, 2006 to Feb 11, 2025 · Des Moines, Ia
- L•• F•••••••• L•• to V•••• F•••••••• A•••••••• I•••left Sep 25, 2025, registered Oct 7, 2025 (12 days) · Affiliated broker-dealer or bank to another
- P•••••••• S••••••••• I••• to L•• F•••••••• L••left Feb 11, 2025, registered May 2, 2025 (80 days) · Affiliated broker-dealer or bank to another
- D•••• A••••••• left L•• F•••••••• L•• for V•••• F•••••••• A•••••••• I••• (registered 2025-10-07)Sep 25, 2025 · Advisor changed firm · fact
- D•••• A••••••• left P•••••••• S••••••••• I••• for L•• F•••••••• L•• (registered 2025-05-02)Feb 11, 2025 · 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
- 20derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address