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••••• A•• M•••••••
- J••••• M••••••••• S•••• L•• BD affiliated currentsince Aug 26, 2020 · Richmond, Va
- D•••••••• • C•••••• L•• BD affiliatedMay 8, 2014 to Mar 14, 2017 · Richmond, Va
- W•••• F•••• A••••••• wirehouseFeb 27, 2014 to May 13, 2014 · Richmond, Va
- P••••• • C•• I••••••••• S••••••• I•• unclassifiedJan 30, 2003 to Mar 5, 2003 · Richmond, Va
- D•••••••• • C•••••• L•• to J••••• M••••••••• S•••• L••left Mar 14, 2017, registered Aug 26, 2020 (1261 days) · Other
- W•••• F•••• A••••••• to D•••••••• • C•••••• L••left May 13, 2014, registered May 8, 2014 (-5 days) · Other
- P••••• • C•• I••••••••• S••••••• I•• to W•••• F•••• A•••••••left Mar 5, 2003, registered Feb 27, 2014 (4012 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
- Broker-dealer affiliated wealth managerderived
- Years in industry
- 23derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address