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•••• K•••• M•••••••
- S•••••••• A••••••• L•• national BD currentsince Mar 31, 2025 · Winter Park, Fl
- F••••••• P••••••• A•• W•••••••• A••••••• formerSep 7, 2022 to Mar 31, 2025 · Winter Park, Fl
- N••• F•••••• A•••• M••••••••• L•• formerSep 8, 2007 to Jan 4, 2017 · Herndon, Va
- N••• F•••••• I••••••••• S•••••••• L•• BD affiliatedApr 23, 2007 to Dec 2, 2020 · Vienna, Va
- M••••• S•••••• D• I••• unclassifiedAug 19, 2005 to Jun 7, 2006 · Eustice, Fl
- 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
- N••• F•••••• I••••••••• S•••••••• L•• to N••• F•••••• A•••• M••••••••• L••left Dec 2, 2020, registered Sep 8, 2007 (-4834 days) · Other
- N••• F•••••• A•••• M••••••••• L•• to F••••••• P••••••• A•• W•••••••• A•••••••left Jan 4, 2017, registered Sep 7, 2022 (2072 days) · Other
- M••••• S•••••• D• I••• to N••• F•••••• I••••••••• S•••••••• L••left Jun 7, 2006, registered Apr 23, 2007 (320 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