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.
D••••• A• B•••
- L•• F•••••••• L•• BD affiliated currentsince Jul 14, 2026 · Albuquerque, Nm
- S•••••••• A••••••• L•• national BDMar 31, 2025 to Jul 10, 2026 · Albuquerque, Nm
- F••••••• P••••••• A•• W•••••••• A••••••• formerFeb 24, 2021 to Mar 31, 2025 · Covington, Ky
- J••• M••••• S••••••••• L•• wirehouseFeb 17, 2020 to Nov 24, 2020 · Dayton, Oh
- W•• B•••••••• S•••••••• I••• BD affiliatedSep 14, 2018 to Jan 14, 2020 · Cincinnati, Oh
- V••• F•••••••• A•••••••• I••• BD affiliatedJan 12, 2017 to Jul 6, 2018 · Miamisburg, Oh
- S•••••••• A••••••• L•• to L•• F•••••••• L••left Jul 10, 2026, registered Jul 14, 2026 (4 days) · Affiliated broker-dealer or bank to another · moved with a team
- 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 Nov 24, 2020, registered Feb 24, 2021 (92 days) · Wirehouse to affiliated broker-dealer or bank
- W•• B•••••••• S•••••••• I••• to J••• M••••• S••••••••• L••left Jan 14, 2020, registered Feb 17, 2020 (34 days) · Other
- V••• F•••••••• A•••••••• I••• to W•• B•••••••• S•••••••• I•••left Jul 6, 2018, registered Sep 14, 2018 (70 days) · Affiliated broker-dealer or bank to a newly registered adviser
- D••••• A• B••• left S•••••••• A••••••• L•• for L•• F•••••••• L•• (registered 2026-07-14)Jul 10, 2026 · 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
- Broker-dealer affiliated wealth managerderived
- Years in industry
- 10derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address