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.
D••••• E••••••• M•••••••
- S•••••••• A••••••• L•• national BD currentsince Mar 31, 2025 · Chester, Va
- F••••••• P••••••• A•• W•••••••• A••••••• formerNov 21, 2019 to Mar 31, 2025 · Alexandria, Va
- E•••••• F•••••••• E•••••• independent RIANov 30, 2016 to Aug 16, 2019 · Richmond, Va
- F•••••••• E•••••• A•••••• C•••••• L•• formerOct 2, 2015 to Nov 30, 2016 · Richmond, Va
- T• A••••••••• I••••••••• M••••••••• L•• formerSep 24, 2014 to Oct 20, 2015 · Glen Allen, Va
- T• A••••••••• I••• formerSep 23, 2014 to Oct 20, 2015 · Glen Allen, Va
- E••••• J•••• national BDJun 11, 2013 to Aug 20, 2014 · Maryland Heights, Mo
- 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
- E•••••• F•••••••• E•••••• to F••••••• P••••••• A•• W•••••••• A•••••••left Aug 16, 2019, registered Nov 21, 2019 (97 days) · RIA to affiliated broker-dealer or bank
- F•••••••• E•••••• A•••••• C•••••• L•• to E•••••• F•••••••• E••••••left Nov 30, 2016, registered Nov 30, 2016 (0 days) · corporate re-registration, not a move
- T• A••••••••• I••••••••• M••••••••• L•• to F•••••••• E•••••• A•••••• C•••••• L••left Oct 20, 2015, registered Oct 2, 2015 (-18 days) · Other
- T• A••••••••• I••• to T• A••••••••• I••••••••• M••••••••• L••left Oct 20, 2015, registered Sep 24, 2014 (-391 days) · channel change inside one enterprise, not a move
- E••••• J•••• to T• A••••••••• I•••left Aug 20, 2014, registered Sep 23, 2014 (34 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
- 13derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address