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.
M••••• L••••• A•••••••
- C••••• I••••••••• A••••••• L•• BD affiliated currentsince Jan 8, 2024 · Vienna, Va
- B••••••• J•••• L•• independent RIAJul 18, 2023 to Nov 13, 2023 · Mclean, Va
- V••••••• A•••••••• I••• BD affiliatedAug 23, 2022 to Jul 3, 2023 · Charlotte, Nc
- B••••••• J•••• L•• to C••••• I••••••••• A••••••• L••left Nov 13, 2023, registered Jan 8, 2024 (56 days) · RIA to affiliated broker-dealer or bank
- V••••••• A•••••••• I••• to B••••••• J•••• L••left Jul 3, 2023, registered Jul 18, 2023 (15 days) · Affiliated broker-dealer or bank to independent RIA
- M••••• L••••• A••••••• left B••••••• J•••• L•• for C••••• I••••••••• A••••••• L•• (registered 2024-01-08)Nov 13, 2023 · Advisor changed firm · fact
- M••••• L••••• A••••••• left V••••••• A•••••••• I••• for B••••••• J•••• L•• (registered 2023-07-18)Jul 3, 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
- 12derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address