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 Jan 31, 2025 · Rockville, Md
- F••••••• P••••••• A•• W•••••••• A••••••• formerDec 15, 2021 to Feb 11, 2025 · Derwood, Md
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseJan 7, 2021 to Oct 5, 2021 · North Bethesda, Md
- F••••••• P••••••• A•• W•••••••• A••••••• to E••••• J••••left Feb 11, 2025, registered Jan 31, 2025 (-11 days) · Affiliated broker-dealer or bank to another
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to F••••••• P••••••• A•• W•••••••• A•••••••left Oct 5, 2021, registered Dec 15, 2021 (71 days) · Wirehouse to affiliated broker-dealer or bank · moved with a team
- K•••• R•••••• E••• left F••••••• P••••••• A•• W•••••••• A••••••• for E••••• J•••• (registered 2025-01-31)Feb 11, 2025 · 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
- 14derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address