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••• S••••• W•••
- L•• F•••••••• L•• BD affiliated currentsince May 15, 2025 · Newport News, Va
- C••• F•••••••• S•••••••• L••• formerAug 16, 2023 to May 15, 2025 · Newport News, Va
- L•• F•••••••• L•• BD affiliatedNov 2, 2017 to Aug 7, 2023 · Hamtpon, Va
- W•••• F•••• A••••••• wirehouseNov 5, 2015 to Nov 7, 2017 · Richmond, Va
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseSep 29, 2014 to Oct 7, 2015 · Virginia Beach, Va
- W•••• F•••• A••••••• wirehouseDec 22, 2012 to Sep 4, 2014 · Norfolk, Va
- C••• F•••••••• S•••••••• L••• to L•• F•••••••• L••left May 15, 2025, registered May 15, 2025 (0 days) · corporate re-registration, not a move
- L•• F•••••••• L•• to C••• F•••••••• S•••••••• L•••left Aug 7, 2023, registered Aug 16, 2023 (9 days) · Affiliated broker-dealer or bank to another
- W•••• F•••• A••••••• to L•• F•••••••• L••left Nov 7, 2017, registered Nov 2, 2017 (-5 days) · Other
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to W•••• F•••• A•••••••left Oct 7, 2015, registered Nov 5, 2015 (29 days) · Wirehouse to wirehouse
- W•••• F•••• A••••••• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••left Sep 4, 2014, registered Sep 29, 2014 (25 days) · Wirehouse to wirehouse
- A••• S••••• W••• left L•• F•••••••• L•• for C••• F•••••••• S•••••••• L••• (registered 2023-08-16)Aug 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
- Broker-dealer affiliated wealth managerderived
- Years in industry
- 13derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address