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.
E•••• D•••• M••••••
- S•••••••• A••••••• L•• national BD currentsince Mar 31, 2025 · Chester, Va
- F••••••• P••••••• A•• W•••••••• A••••••• formerJul 14, 2020 to Mar 31, 2025 · Midlothian, Va
- M••••• S•••••• wirehouseApr 27, 2018 to Jun 23, 2020 · Richmond, Va
- R••••••••• I••••••••• G••••• L•• mixed wealthApr 24, 2017 to Mar 2, 2018 · Richmond, Va
- W•••• F•••• A••••••• wirehouseApr 28, 2015 to Apr 3, 2017 · Richmond, 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
- M••••• S•••••• to F••••••• P••••••• A•• W•••••••• A•••••••left Jun 23, 2020, registered Jul 14, 2020 (21 days) · Wirehouse to affiliated broker-dealer or bank
- R••••••••• I••••••••• G••••• L•• to M••••• S••••••left Mar 2, 2018, registered Apr 27, 2018 (56 days) · Other
- W•••• F•••• A••••••• to R••••••••• I••••••••• G••••• L••left Apr 3, 2017, registered Apr 24, 2017 (21 days) · Other
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
- 14derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address