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.
- E••••• J•••• national BD currentsince Feb 24, 2025 · Burke, Va
- R•• C•••••• M••••••• L•• national BDJul 24, 2023 to Feb 5, 2025 · Washington, Dc
- M••••• S•••••• wirehouseApr 7, 2023 to Jun 6, 2023 · Alexandria, Va
- R•• C•••••• M••••••• L•• to E••••• J••••left Feb 5, 2025, registered Feb 24, 2025 (19 days) · Affiliated broker-dealer or bank to another
- M••••• S•••••• to R•• C•••••• M••••••• L••left Jun 6, 2023, registered Jul 24, 2023 (48 days) · Wirehouse to affiliated broker-dealer or bank
- D•••• S••••• left R•• C•••••• M••••••• L•• for E••••• J•••• (registered 2025-02-24)Feb 5, 2025 · Advisor changed firm · fact
- D•••• S••••• left M••••• S•••••• for R•• C•••••• M••••••• L•• (registered 2023-07-24)Jun 6, 2023 · 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