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••••• R•• T•••••••••
- O•••• W•••••• I••• BD affiliated currentsince Jun 14, 2024 · Richmond, Va
- S••••••••• A•••••• A•••••••• I••• formerAug 25, 2017 to Jun 14, 2024 · Richmond, Va
- N••• F•••••••• G••••• I••• formerMay 21, 2007 to Sep 1, 2017 · Houston, Tx
- T••••••••• F•••••••• A•••••••• L•• BD affiliatedJan 20, 2000 to May 15, 2007 · Richmond, Va
- S••••••••• A•••••• A•••••••• I••• to O•••• W•••••• I•••left Jun 14, 2024, registered Jun 14, 2024 (0 days) · corporate re-registration, not a move
- N••• F•••••••• G••••• I••• to S••••••••• A•••••• A•••••••• I•••left Sep 1, 2017, registered Aug 25, 2017 (-7 days) · Other · moved with a team
- T••••••••• F•••••••• A•••••••• L•• to N••• F•••••••• G••••• I•••left May 15, 2007, registered May 21, 2007 (6 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