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.
D•••• A•••• C•••••••
- C•••••••• I••••••••• R••••••• A•••••••• I••• BD affiliated currentsince May 11, 2021 · Lynchburg, Va
- O•••• F•• I••• formerOct 27, 2015 to May 12, 2021 · Virginia Beach, Va
- C•••••••• F•••••••• G•••• A••••••• formerSep 9, 2011 to Oct 31, 2013 · Forest, Va
- O•••• F•• I••• to C•••••••• I••••••••• R••••••• A•••••••• I•••left May 12, 2021, registered May 11, 2021 (-1 days) · Affiliated broker-dealer or bank to another · moved with a team
- C•••••••• F•••••••• G•••• A••••••• to O•••• F•• I•••left Oct 31, 2013, registered Oct 27, 2015 (726 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
- 42derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address