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.
P••••• P•••••
- S•••••••• A••••••• L•• national BD currentsince Mar 31, 2025 · Morristown, Nj
- F••••••• P••••••• A•• W•••••••• A••••••• formerJun 9, 2022 to Mar 31, 2025 · Morristown, Nj
- M••••••••• R••••••••• BD affiliatedFeb 9, 2012 to Jul 7, 2021 · Washington, Dc
- M••••••• F•••••••• G••••• I••• formerOct 25, 2010 to Dec 7, 2011 · Rockville, Md
- N••• F•••••• A•••• M••••••••• L•• formerJul 6, 2010 to Oct 13, 2010 · Vienna, Va
- C•••••••• F••••••••• I••• BD affiliatedAug 28, 2009 to Jun 29, 2010 · Leesburg, Va
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseJan 1, 2008 to Feb 12, 2009 · Richmond, Va
- 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
- M••••••••• R••••••••• to F••••••• P••••••• A•• W•••••••• A•••••••left Jul 7, 2021, registered Jun 9, 2022 (337 days) · Other
- M••••••• F•••••••• G••••• I••• to M••••••••• R•••••••••left Dec 7, 2011, registered Feb 9, 2012 (64 days) · Other
- N••• F•••••• A•••• M••••••••• L•• to M••••••• F•••••••• G••••• I•••left Oct 13, 2010, registered Oct 25, 2010 (12 days) · Other
- C•••••••• F••••••••• I••• to N••• F•••••• A•••• M••••••••• L••left Jun 29, 2010, registered Jul 6, 2010 (7 days) · Other
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to C•••••••• F••••••••• I•••left Feb 12, 2009, registered Aug 28, 2009 (197 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
- 18derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address