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.
B•••••• E••••••••• D••••••••
- L•• F•••••••• L•• BD affiliated currentsince Nov 18, 2024 · Quantico, Va
- W•••• F•••• A••••••• wirehouseOct 16, 2024 to Dec 3, 2024 · Mclean, Va
- H••• S••••••••• •••• I••• BD affiliatedSep 22, 2023 to Oct 9, 2024 · Silver Spring, Md
- W•••• F•••• A••••••• to L•• F•••••••• L••left Dec 3, 2024, registered Nov 18, 2024 (-15 days) · Wirehouse to affiliated broker-dealer or bank
- H••• S••••••••• •••• I••• to W•••• F•••• A•••••••left Oct 9, 2024, registered Oct 16, 2024 (7 days) · Affiliated broker-dealer or bank to wirehouse
- B•••••• E••••••••• D•••••••• left W•••• F•••• A••••••• for L•• F•••••••• L•• (registered 2024-11-18)Dec 3, 2024 · Advisor changed firm · fact
- B•••••• E••••••••• D•••••••• left H••• S••••••••• •••• I••• for W•••• F•••• A••••••• (registered 2024-10-16)Oct 9, 2024 · 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
- 10derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address