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•••• W•••••• M••••••
- C•••••• S••••• • C••• I••• national BD currentsince Sep 16, 2025 · Bristol, Tn
- L•• F•••••••• L•• BD affiliatedDec 12, 2019 to Sep 12, 2025 · Richlands, Va
- C••••••••• F•••••••• N•••••• national BDSep 30, 2016 to Dec 12, 2019 · Waltham, Ma
- C•••••••• I••••••••• R••••••• A•••••••• I••• BD affiliatedJun 26, 2015 to Oct 19, 2016 · Richlands, Va
- C••••••• • C••• I••• formerMar 30, 2012 to Jul 9, 2015 · Lebanon, Va
- E••••• J•••• national BDAug 23, 2007 to Apr 2, 2012 · Lebanon, Va
- L•• F•••••••• L•• to C•••••• S••••• • C••• I•••left Sep 12, 2025, registered Sep 16, 2025 (4 days) · Affiliated broker-dealer or bank to another
- C••••••••• F•••••••• N•••••• to L•• F•••••••• L••left Dec 12, 2019, registered Dec 12, 2019 (0 days) · Affiliated broker-dealer or bank to another
- C•••••••• I••••••••• R••••••• A•••••••• I••• to C••••••••• F•••••••• N••••••left Oct 19, 2016, registered Sep 30, 2016 (-19 days) · Other
- C••••••• • C••• I••• to C•••••••• I••••••••• R••••••• A•••••••• I•••left Jul 9, 2015, registered Jun 26, 2015 (-13 days) · Other
- E••••• J•••• to C••••••• • C••• I•••left Apr 2, 2012, registered Mar 30, 2012 (-3 days) · Other
- D•••• W•••••• M•••••• left L•• F•••••••• L•• for C•••••• S••••• • C••• I••• (registered 2025-09-16)Sep 12, 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
- National broker-dealer RIAderived
- Years in industry
- 19derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address