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•••••• K•••••••• N••• P•••••
- S•••••••• A••••••• L•• national BD currentsince Mar 31, 2025 · Towson, Md
- F••••••• P••••••• A•• W•••••••• A••••••• formerNov 30, 2021 to Mar 31, 2025 · Towson, Md
- W•• P•••••••• L•• formerNov 2, 2018 to Nov 16, 2020 · Towson, Md
- P••••••• S•••••••• G••••• L•• formerJul 17, 2018 to Aug 30, 2018 · Fulton, Md
- M•• I•••••••• S•••••••• L•• BD affiliatedOct 12, 2016 to Jun 20, 2018 · Hunt Valley, Md
- 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
- W•• P•••••••• L•• to F••••••• P••••••• A•• W•••••••• A•••••••left Nov 16, 2020, registered Nov 30, 2021 (379 days) · RIA to affiliated broker-dealer or bank
- P••••••• S•••••••• G••••• L•• to W•• P•••••••• L••left Aug 30, 2018, registered Nov 2, 2018 (64 days) · RIA to RIA
- M•• I•••••••• S•••••••• L•• to P••••••• S•••••••• G••••• L••left Jun 20, 2018, registered Jul 17, 2018 (27 days) · Affiliated broker-dealer or bank to independent RIA
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
- 10derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address