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.
V••••• F• C•••••
- S•••••••• A••••••• L•• national BD currentsince Mar 31, 2025 · Rockville, Md
- F••••••• P••••••• A•• W•••••••• A••••••• formerMay 3, 2022 to Mar 31, 2025 · Rockville, Md
- C••• I••••••••• A•••••••• I••• independent RIAJan 7, 2021 to Mar 11, 2022 · Hanover, Md
- A••••• A•• P••••••• S••••••• BD affiliatedOct 22, 2018 to Nov 13, 2020 · Columbia, Md
- W•••• F•••• A••••••• wirehouseApr 20, 2017 to Oct 17, 2018 · Laurel, Md
- M••••• S•••••• wirehouseOct 3, 2016 to Mar 21, 2017 · Columbia, Md
- 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
- C••• I••••••••• A•••••••• I••• to F••••••• P••••••• A•• W•••••••• A•••••••left Mar 11, 2022, registered May 3, 2022 (53 days) · RIA to affiliated broker-dealer or bank
- A••••• A•• P••••••• S••••••• to C••• I••••••••• A•••••••• I•••left Nov 13, 2020, registered Jan 7, 2021 (55 days) · Affiliated broker-dealer or bank to independent RIA
- W•••• F•••• A••••••• to A••••• A•• P••••••• S•••••••left Oct 17, 2018, registered Oct 22, 2018 (5 days) · Wirehouse to affiliated broker-dealer or bank
- M••••• S•••••• to W•••• F•••• A•••••••left Mar 21, 2017, registered Apr 20, 2017 (30 days) · Wirehouse to wirehouse
- V••••• F• C••••• left C••• I••••••••• A•••••••• I••• for F••••••• P••••••• A•• W•••••••• A••••••• (registered 2022-05-03)Mar 11, 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
- 10derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address