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•••••••
- S•••••••• A••••••• L•• national BD currentsince Mar 31, 2025 · Washington, Dc
- F••••••• P••••••• A•• W•••••••• A••••••• formerOct 2, 2023 to Mar 31, 2025 · Washington, Dc
- M•• I•••••••• S•••••••• L•• BD affiliatedSep 28, 2022 to Aug 10, 2023 · Rockville, Md
- M•• I•••••••• S•••••••• L•• BD affiliatedFeb 16, 2022 to Jun 9, 2022 · Vienna, Va
- M••••• S•••••• wirehouseJun 15, 2018 to Apr 20, 2021 · Mclean, Va
- C•••••• O•• A•••••••• L•• formerJan 28, 2015 to May 2, 2018 · Seattle, Wa
- C•••••• O•• F•••••••• A••••••• L•• unclassifiedApr 28, 2014 to Jan 28, 2015 · Melville, Ny
- 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•• I•••••••• S•••••••• L•• to F••••••• P••••••• A•• W•••••••• A•••••••left Aug 10, 2023, registered Oct 2, 2023 (53 days) · Affiliated broker-dealer or bank to another
- M••••• S•••••• to M•• I•••••••• S•••••••• L••left Apr 20, 2021, registered Feb 16, 2022 (302 days) · Wirehouse to affiliated broker-dealer or bank
- C•••••• O•• A•••••••• L•• to M••••• S••••••left May 2, 2018, registered Jun 15, 2018 (44 days) · Affiliated broker-dealer or bank to wirehouse
- C•••••• O•• F•••••••• A••••••• L•• to C•••••• O•• A•••••••• L••left Jan 28, 2015, registered Jan 28, 2015 (0 days) · corporate re-registration, not a move
- J•••• L••••••• left M•• I•••••••• S•••••••• L•• for F••••••• P••••••• A•• W•••••••• A••••••• (registered 2023-10-02)Aug 10, 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
- National broker-dealer RIAderived
- Years in industry
- 12derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address