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.
J••••• T•••••••
- A••••••••• F•••••••• S•••••••• L•• national BD currentsince Apr 23, 2026 · Bethesda, Md
- M••••• S•••••• wirehouseSep 12, 2024 to Apr 2, 2026 · Bethesda, Md
- A••••••••• F•••••••• S•••••••• L•• national BDMay 2, 2024 to Jul 15, 2024 · Arden Hills, Mn
- M••••• S•••••• to A••••••••• F•••••••• S•••••••• L••left Apr 2, 2026, registered Apr 23, 2026 (21 days) · Wirehouse to affiliated broker-dealer or bank
- A••••••••• F•••••••• S•••••••• L•• to M••••• S••••••left Jul 15, 2024, registered Sep 12, 2024 (59 days) · Affiliated broker-dealer or bank to wirehouse
- J••••• T••••••• left M••••• S•••••• for A••••••••• F•••••••• S•••••••• L•• (registered 2026-04-23)Apr 2, 2026 · Advisor changed firm · fact
- J••••• T••••••• left A••••••••• F•••••••• S•••••••• L•• for M••••• S•••••• (registered 2024-09-12)Jul 15, 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
- 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