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•••• Z•••••• E••••
- N••• F•••••• I••••••••• S•••••••• L•• BD affiliated currentsince Jun 9, 2025 · Inwood, Wv
- W•••• F•••• A••••••• wirehouseMay 1, 2023 to Jun 6, 2025 · Roanoke, Va
- E•••••••• A•••••••• L•• national BDNov 30, 2022 to Mar 27, 2023 · Roanoke, Va
- W•••• F•••• A••••••• to N••• F•••••• I••••••••• S•••••••• L••left Jun 6, 2025, registered Jun 9, 2025 (3 days) · Wirehouse to affiliated broker-dealer or bank
- E•••••••• A•••••••• L•• to W•••• F•••• A•••••••left Mar 27, 2023, registered May 1, 2023 (35 days) · Affiliated broker-dealer or bank to wirehouse
- B•••• Z•••••• E•••• left W•••• F•••• A••••••• for N••• F•••••• I••••••••• S•••••••• L•• (registered 2025-06-09)Jun 6, 2025 · Advisor changed firm · fact
- B•••• Z•••••• E•••• left E•••••••• A•••••••• L•• for W•••• F•••• A••••••• (registered 2023-05-01)Mar 27, 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
- 13derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address