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.
L•••• C••••
- W••••• E••••••••• A••••••• S•••••••• L•• BD affiliated currentsince Feb 3, 2025 · Vienna, Va
- N••••••••• I••••••••• A•••••••• L•• BD affiliatedNov 20, 2020 to Jan 27, 2025 · Columbus, Oh
- C•••••••• G••••• M•••••• I••• BD affiliatedMar 13, 2017 to Sep 24, 2018 · Arlington, Va
- M•• I•••••••• S•••••••• L•• BD affiliatedMar 24, 2015 to May 10, 2016 · Fairfax, Va
- E•••• S••••••••• L•• BD affiliatedJan 22, 2013 to Oct 30, 2014 · Vienna, Va
- W•••• F•••• A••••••• wirehouseApr 29, 2008 to Nov 19, 2012 · Mclean, Va
- N••••••••• I••••••••• A•••••••• L•• to W••••• E••••••••• A••••••• S•••••••• L••left Jan 27, 2025, registered Feb 3, 2025 (7 days) · Affiliated broker-dealer or bank to another
- C•••••••• G••••• M•••••• I••• to N••••••••• I••••••••• A•••••••• L••left Sep 24, 2018, registered Nov 20, 2020 (788 days) · Affiliated broker-dealer or bank to another
- M•• I•••••••• S•••••••• L•• to C•••••••• G••••• M•••••• I•••left May 10, 2016, registered Mar 13, 2017 (307 days) · Other
- E•••• S••••••••• L•• to M•• I•••••••• S•••••••• L••left Oct 30, 2014, registered Mar 24, 2015 (145 days) · Other
- W•••• F•••• A••••••• to E•••• S••••••••• L••left Nov 19, 2012, registered Jan 22, 2013 (64 days) · Other
- L•••• C•••• left N••••••••• I••••••••• A•••••••• L•• for W••••• E••••••••• A••••••• S•••••••• L•• (registered 2025-02-03)Jan 27, 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
- 18derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address