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.
- N••••••• L•• state registered currentsince Apr 1, 2023 · Leesburg, Va
- J••• M••••• S••••••••• L•• wirehouseMar 4, 2021 to Mar 8, 2023 · Washington, Dc
- U•• F•••••••• S••••••• I••• wirehouseApr 10, 2019 to Jan 29, 2021 · Mclean, Va
- S•••• W••••• M••••••••• L•• BD affiliatedApr 20, 2017 to Feb 14, 2019 · Mclean, Va
- J••• M••••• S••••••••• L•• to N••••••• L••left Mar 8, 2023, registered Apr 1, 2023 (24 days) · Wirehouse to a state-registered adviser
- U•• F•••••••• S••••••• I••• to J••• M••••• S••••••••• L••left Jan 29, 2021, registered Mar 4, 2021 (34 days) · Wirehouse to wirehouse
- S•••• W••••• M••••••••• L•• to U•• F•••••••• S••••••• I•••left Feb 14, 2019, registered Apr 10, 2019 (55 days) · RIA to wirehouse
- T•••• H•••• left J••• M••••• S••••••••• L•• for N••••••• L•• (registered 2023-04-01)Mar 8, 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
- STATE REGISTEREDderived
- Years in industry
- 11derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address