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.
A••• B• B•••••
- S•••••••• A••••••• L•• national BD currentsince Mar 31, 2025 · Falls Church, Va
- F••••••• P••••••• A•• W•••••••• A••••••• formerJul 28, 2020 to Mar 31, 2025 · Tysons Corner, Va
- H••• S••••••••• •••• I••• BD affiliatedAug 4, 2016 to Jul 24, 2020 · Fairfax, Va
- C•••••••• G••••• M•••••• I••• BD affiliatedFeb 27, 2014 to Jul 15, 2016 · Rockville, Md
- W•••• F•••• A••••••• wirehouseJul 30, 2012 to Feb 19, 2014 · Washington, Dc
- C•••••• O•• F•••••••• A••••••• L•• unclassifiedApr 27, 2010 to Jun 14, 2012 · Melville, Ny
- C•••• C•••• F•••••••• S••••••• unclassifiedApr 15, 2009 to May 7, 2010 · Bethesda, Md
- 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
- H••• S••••••••• •••• I••• to F••••••• P••••••• A•• W•••••••• A•••••••left Jul 24, 2020, registered Jul 28, 2020 (4 days) · Affiliated broker-dealer or bank to another
- C•••••••• G••••• M•••••• I••• to H••• S••••••••• •••• I•••left Jul 15, 2016, registered Aug 4, 2016 (20 days) · Other
- W•••• F•••• A••••••• to C•••••••• G••••• M•••••• I•••left Feb 19, 2014, registered Feb 27, 2014 (8 days) · Other
- C•••••• O•• F•••••••• A••••••• L•• to W•••• F•••• A•••••••left Jun 14, 2012, registered Jul 30, 2012 (46 days) · Other
- C•••• C•••• F•••••••• S••••••• to C•••••• O•• F•••••••• A••••••• L••left May 7, 2010, registered Apr 27, 2010 (-10 days) · corporate re-registration, not a move
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
- 17derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address