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.
M•••••• B••••••••
- S•••••••• A••••••• L•• national BD currentsince Mar 31, 2025 · Alexandria, Va
- F••••••• P••••••• A•• W•••••••• A••••••• formerMay 23, 2022 to Mar 31, 2025 · Reston, Va
- B••••• W•••••• L•• independent RIAMay 12, 2021 to Oct 18, 2021 · Mclean, Va
- M••••• S•••••• wirehouseApr 7, 2021 to May 12, 2021 · Bethesda, Md
- M••••• S•••••• wirehouseApr 16, 2019 to Aug 1, 2019 · Ponte Vedra Beach, Fl
- R•••••• J•••• F•••••••• S••••••• A•••••••• I•• BD affiliatedOct 9, 2017 to Mar 20, 2019 · Neptune Beach, Fl
- E•••••• A••••••• G••••• L•• BD affiliatedDec 5, 2016 to Oct 11, 2017 · Baton Rouge, La
- 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
- B••••• W•••••• L•• to F••••••• P••••••• A•• W•••••••• A•••••••left Oct 18, 2021, registered May 23, 2022 (217 days) · RIA to affiliated broker-dealer or bank
- M••••• S•••••• to B••••• W•••••• L••left May 12, 2021, registered May 12, 2021 (0 days) · Wirehouse to independent RIA
- R•••••• J•••• F•••••••• S••••••• A•••••••• I•• to M••••• S••••••left Mar 20, 2019, registered Apr 16, 2019 (27 days) · Affiliated broker-dealer or bank to wirehouse
- E•••••• A••••••• G••••• L•• to R•••••• J•••• F•••••••• S••••••• A•••••••• I••left Oct 11, 2017, registered Oct 9, 2017 (-2 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
- 10derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address