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••••• M• V••••••
- C•••••• S••••• • C••• I••• national BD currentsince Jan 30, 2022 · Alexandria, Va
- T• A••••••••• I••••••••• M••••••••• L•• formerJul 19, 2019 to Sep 7, 2023 · Reston, Va
- T• A••••••••• I••• formerJul 17, 2019 to Oct 14, 2022 · Reston, Va
- W•••• F•••• A••••••• wirehouseAug 15, 2013 to Oct 2, 2018 · Burke, Va
- P•• W••••• M••••••••• BD affiliatedApr 30, 2012 to Aug 2, 2013 · Arlington, Va
- E•••••••• A•••••••• L•• national BDFeb 9, 2011 to Jun 17, 2011 · Falls Church, Va
- T• A••••••••• I••••••••• M••••••••• L•• to C•••••• S••••• • C••• I•••left Sep 7, 2023, registered Jan 30, 2022 (-585 days) · corporate re-registration, not a move
- T• A••••••••• I••• to T• A••••••••• I••••••••• M••••••••• L••left Oct 14, 2022, registered Jul 19, 2019 (-1183 days) · corporate re-registration, not a move
- W•••• F•••• A••••••• to T• A••••••••• I•••left Oct 2, 2018, registered Jul 17, 2019 (288 days) · Other
- P•• W••••• M••••••••• to W•••• F•••• A•••••••left Aug 2, 2013, registered Aug 15, 2013 (13 days) · Other
- E•••••••• A•••••••• L•• to P•• W••••• M•••••••••left Jun 17, 2011, registered Apr 30, 2012 (318 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
- 15derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address