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.
T••••• O••• W•••
- P••••••• R••••••••• A••••••• institutional currentsince Feb 3, 2025 · Mclean, Va
- K••••• A••••••• S•••••••• L•• BD affiliatedDec 5, 2018 to Feb 7, 2023 · Falls Church, Va
- M••••• S•••••• wirehouseSep 15, 2009 to Aug 16, 2012 · Lynchburg, Va
- E••••• J•••• national BDFeb 17, 2009 to Jul 7, 2009 · Lynchburg, Va
- K••••• A••••••• S•••••••• L•• to P••••••• R••••••••• A•••••••left Feb 7, 2023, registered Feb 3, 2025 (727 days) · Other
- M••••• S•••••• to K••••• A••••••• S•••••••• L••left Aug 16, 2012, registered Dec 5, 2018 (2302 days) · Wirehouse to affiliated broker-dealer or bank
- E••••• J•••• to M••••• S••••••left Jul 7, 2009, registered Sep 15, 2009 (70 days) · Affiliated broker-dealer or bank to wirehouse
- T••••• O••• W••• left K••••• A••••••• S•••••••• L•• for P••••••• R••••••••• A••••••• (registered 2025-02-03)Feb 7, 2023 · 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
- Institutional managerderived
- Years in industry
- 17derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address