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.
J•••• L• R•••••
- S•••••••• A••••••• L•• national BD currentsince Mar 31, 2025 · Stafford, Va
- F••••••• P••••••• A•• W•••••••• A••••••• formerMay 31, 2022 to Mar 31, 2025 · Alexandria, Va
- W•••• F•••• A••••••• wirehouseSep 15, 2021 to Apr 19, 2022 · Warrenton, Va
- C•••••••• G••••• M•••••• I••• BD affiliatedMar 20, 2017 to Jul 28, 2021 · Washington, Dc
- W•••• F•••• A••••••• wirehouseOct 16, 2012 to Feb 1, 2017 · Stafford, Va
- F•••• C•••••• F•••••••• P•••••••• I••• formerJun 3, 2008 to Jul 16, 2012 · Stafford, 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
- W•••• F•••• A••••••• to F••••••• P••••••• A•• W•••••••• A•••••••left Apr 19, 2022, registered May 31, 2022 (42 days) · Wirehouse to affiliated broker-dealer or bank · moved with a team
- C•••••••• G••••• M•••••• I••• to W•••• F•••• A•••••••left Jul 28, 2021, registered Sep 15, 2021 (49 days) · Affiliated broker-dealer or bank to wirehouse
- W•••• F•••• A••••••• to C•••••••• G••••• M•••••• I•••left Feb 1, 2017, registered Mar 20, 2017 (47 days) · Other
- F•••• C•••••• F•••••••• P•••••••• I••• to W•••• F•••• A•••••••left Jul 16, 2012, registered Oct 16, 2012 (92 days) · Other
- J•••• L• R••••• left W•••• F•••• A••••••• for F••••••• P••••••• A•• W•••••••• A••••••• (registered 2022-05-31)Apr 19, 2022 · 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
- 18derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address