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.
W•••••• J••••• H•••••
- A••••••••• F•••••••• S•••••••• L•• national BD currentsince Aug 28, 2020 · Midlothian, Va
- R•••••• J•••• F•••••••• S••••••• A•••••••• I•• BD affiliatedOct 29, 2010 to Sep 1, 2020 · Moyoke, Nc
- I••••••••• P••••••••• I••• formerNov 17, 2008 to Nov 12, 2010 · San Antonio, Tx
- O•••• I••••••••• I••• BD affiliatedJun 1, 2008 to Dec 11, 2008 · Virginia Beach, Va
- B• I••••••••• L•• unclassifiedOct 24, 2006 to Jun 1, 2008 · Virginia Beach, Va
- O•••• F•• I••• formerJul 3, 1997 to Oct 23, 2006 · Virginia Beach, Va
- R•••••• J•••• F•••••••• S••••••• A•••••••• I•• to A••••••••• F•••••••• S•••••••• L••left Sep 1, 2020, registered Aug 28, 2020 (-4 days) · Affiliated broker-dealer or bank to another
- I••••••••• P••••••••• I••• to R•••••• J•••• F•••••••• S••••••• A•••••••• I••left Nov 12, 2010, registered Oct 29, 2010 (-14 days) · Other
- O•••• I••••••••• I••• to I••••••••• P••••••••• I•••left Dec 11, 2008, registered Nov 17, 2008 (-24 days) · Other
- B• I••••••••• L•• to O•••• I••••••••• I•••left Jun 1, 2008, registered Jun 1, 2008 (0 days) · corporate re-registration, not a move
- O•••• F•• I••• to B• I••••••••• L••left Oct 23, 2006, registered Oct 24, 2006 (1 days) · Other
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
- 43derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address