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.
K•••• J•••• M•••••••
- S•••••••• A••••••• L•• national BD currentsince Mar 31, 2025 · Mclean, Va
- F••••••• P••••••• A•• W•••••••• A••••••• formerApr 8, 2022 to Mar 31, 2025 · Alexandria, Va
- F••••••• P••••••• A•• W•••••••• A••••••• formerJun 22, 2020 to Jul 9, 2021 · Alexandria, Va
- E•••••• C•••••• M••••••••• L•• formerJan 28, 2019 to Mar 12, 2020 · Washington, Dc
- F••••••• P••••••• A•• W•••••••• A••••••• formerJul 13, 2018 to Dec 18, 2018 · Boston, Ma
- S•••••••• A••••••• L•• national BDJul 25, 2017 to Jul 13, 2018 · Reston, Va
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseSep 16, 2016 to May 15, 2017 · Vienna, 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
- E•••••• C•••••• M••••••••• L•• to F••••••• P••••••• A•• W•••••••• A•••••••left Mar 12, 2020, registered Jun 22, 2020 (102 days) · RIA to affiliated broker-dealer or bank · moved with a team
- F••••••• P••••••• A•• W•••••••• A••••••• to E•••••• C•••••• M••••••••• L••left Dec 18, 2018, registered Jan 28, 2019 (41 days) · Affiliated broker-dealer or bank to independent RIA
- S•••••••• A••••••• L•• to F••••••• P••••••• A•• W•••••••• A•••••••left Jul 13, 2018, registered Jul 13, 2018 (0 days) · corporate re-registration, not a move
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to S•••••••• A••••••• L••left May 15, 2017, registered Jul 25, 2017 (71 days) · Wirehouse to affiliated broker-dealer or bank
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