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•••• L•• T•••••••••
- C•••••• S••••• • C••• I••• national BD currentsince Feb 7, 2025 · Westlake, Tx
- T• A••••••••• I••••••••• M••••••••• L•• formerMay 18, 2022 to Sep 7, 2023 · Potomac, Md
- T• A••••••••• I••• formerMay 18, 2022 to Oct 14, 2022 · Potomac, Md
- E••••• J•••• national BDJun 29, 2020 to Apr 12, 2022 · Rockville, Md
- T• A••••••••• I••••••••• M••••••••• L•• to C•••••• S••••• • C••• I•••left Sep 7, 2023, registered Feb 7, 2025 (519 days) · corporate re-registration, not a move
- T• A••••••••• I••• to T• A••••••••• I••••••••• M••••••••• L••left Oct 14, 2022, registered May 18, 2022 (-149 days) · corporate re-registration, not a move
- E••••• J•••• to T• A••••••••• I•••left Apr 12, 2022, registered May 18, 2022 (36 days) · Other
- B•••• L•• T••••••••• left E••••• J•••• for T• A••••••••• I••• (registered 2022-05-18)Apr 12, 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