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.
T••••• V•••••• C•••••
- P••••••• F•••••••• S•••••••• I••• BD affiliated currentsince Mar 2, 2023 · Mclean, Va
- A••••••••• F•••••••• S•••••••• L•• national BDJan 16, 2015 to Jan 4, 2023 · Vienna, Va
- M••••• S•••••• wirehouseJun 1, 2009 to Jan 27, 2015 · Washington, Dc
- M••••• S•••••• • C•• L•• unclassifiedAug 27, 2007 to Jun 1, 2009 · Washington, Dc
- W•••• F•••• A••••••• wirehouseJul 1, 2003 to Aug 22, 2007 · Washington, Dc
- P••••••••• E••••• G••••• L•• unclassifiedApr 12, 1994 to Jul 1, 2003 · Washington, Dc
- A••••••••• F•••••••• S•••••••• L•• to P••••••• F•••••••• S•••••••• I•••left Jan 4, 2023, registered Mar 2, 2023 (57 days) · Affiliated broker-dealer or bank to independent RIA
- M••••• S•••••• to A••••••••• F•••••••• S•••••••• L••left Jan 27, 2015, registered Jan 16, 2015 (-11 days) · Wirehouse to affiliated broker-dealer or bank
- M••••• S•••••• • C•• L•• to M••••• S••••••left Jun 1, 2009, registered Jun 1, 2009 (0 days) · corporate re-registration, not a move
- W•••• F•••• A••••••• to M••••• S•••••• • C•• L••left Aug 22, 2007, registered Aug 27, 2007 (5 days) · Other
- P••••••••• E••••• G••••• L•• to W•••• F•••• A•••••••left Jul 1, 2003, registered Jul 1, 2003 (0 days) · corporate re-registration, not a move
- T••••• V•••••• C••••• left A••••••••• F•••••••• S•••••••• L•• for P••••••• F•••••••• S•••••••• I••• (registered 2023-03-02)Jan 4, 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
- Broker-dealer affiliated wealth managerderived
- Years in industry
- 42derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address