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.
L••••• H••••
- S•••••••• A••••••• L•• national BD currentsince Mar 31, 2025 · Chantilly, Va
- F••••••• P••••••• A•• W•••••••• A••••••• formerJun 9, 2022 to Mar 31, 2025 · Reston, Va
- J••• M••••• S••••••••• L•• wirehouseJan 26, 2021 to May 18, 2022 · Arlington, Va
- T• A••••••••• I••••••••• M••••••••• L•• formerMay 28, 2020 to Dec 31, 2020 · Reston, Va
- T• A••••••••• I••• formerMay 22, 2020 to Jan 11, 2021 · Reston, Va
- H••• S••••••••• •••• I••• BD affiliatedAug 29, 2017 to Jun 2, 2020 · Reston, Va
- W•••• F•••• A••••••• wirehouseFeb 3, 2015 to Jul 13, 2017 · Burke, Va
- 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
- J••• M••••• S••••••••• L•• to F••••••• P••••••• A•• W•••••••• A•••••••left May 18, 2022, registered Jun 9, 2022 (22 days) · Wirehouse to affiliated broker-dealer or bank
- T• A••••••••• I••• to T• A••••••••• I••••••••• M••••••••• L••left Jan 11, 2021, registered May 28, 2020 (-228 days) · channel change inside one enterprise, not a move · moved with a team
- T• A••••••••• I••••••••• M••••••••• L•• to J••• M••••• S••••••••• L••left Dec 31, 2020, registered Jan 26, 2021 (26 days) · RIA to wirehouse
- H••• S••••••••• •••• I••• to T• A••••••••• I•••left Jun 2, 2020, registered May 22, 2020 (-11 days) · Other
- W•••• F•••• A••••••• to H••• S••••••••• •••• I•••left Jul 13, 2017, registered Aug 29, 2017 (47 days) · Other
- L••••• H•••• left J••• M••••• S••••••••• L•• for F••••••• P••••••• A•• W•••••••• A••••••• (registered 2022-06-09)May 18, 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
- 14derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address