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.
- E••••• J•••• national BD currentsince Jan 30, 2026 · Richmond, Va
- L•• F•••••••• L•• BD affiliatedApr 25, 2024 to Jan 20, 2026 · Midlothian, Va
- F••••••• P••••••• A•• W•••••••• A••••••• formerOct 22, 2021 to Dec 13, 2022 · Merrimack, Nh
- A••••••• F•••••••• A•••••••• L•• BD affiliatedJul 10, 2020 to Aug 20, 2021 · Ashland, Va
- O•••• I••••••••• I••• BD affiliatedOct 31, 2017 to Jan 7, 2020 · Richmond, Va
- M•• S••••••••• I••• unclassifiedFeb 17, 2015 to Oct 20, 2017 · Glen Allen, Va
- W•••• F•••• A••••••• wirehouseJul 29, 2014 to Jan 9, 2015 · Richmond, Va
- L•• F•••••••• L•• to E••••• J••••left Jan 20, 2026, registered Jan 30, 2026 (10 days) · Affiliated broker-dealer or bank to another
- F••••••• P••••••• A•• W•••••••• A••••••• to L•• F•••••••• L••left Dec 13, 2022, registered Apr 25, 2024 (499 days) · Affiliated broker-dealer or bank to another · moved with a team
- A••••••• F•••••••• A•••••••• L•• to F••••••• P••••••• A•• W•••••••• A•••••••left Aug 20, 2021, registered Oct 22, 2021 (63 days) · Affiliated broker-dealer or bank to another
- O•••• I••••••••• I••• to A••••••• F•••••••• A•••••••• L••left Jan 7, 2020, registered Jul 10, 2020 (185 days) · Affiliated broker-dealer or bank to another
- M•• S••••••••• I••• to O•••• I••••••••• I•••left Oct 20, 2017, registered Oct 31, 2017 (11 days) · Other
- W•••• F•••• A••••••• to M•• S••••••••• I•••left Jan 9, 2015, registered Feb 17, 2015 (39 days) · Other
- K••••• E• B•••••• left L•• F•••••••• L•• for E••••• J•••• (registered 2026-01-30)Jan 20, 2026 · Advisor changed firm · fact
- K••••• E• B•••••• left F••••••• P••••••• A•• W•••••••• A••••••• for L•• F•••••••• L•• (registered 2024-04-25)Dec 13, 2022 · 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