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.
R••••• G••••• D•••••••
- I••••••••• F•••••••• G••••• L•• BD affiliated currentsince Jan 3, 2020 · Leesburg, Va
- P••••••• B•••••• F•••••••• unclassifiedJan 24, 2013 to Jan 17, 2020 · Lakewood, Co
- O•••• W•••••• I••• BD affiliatedNov 29, 2012 to Jan 7, 2020 · Leesburg, Va
- C•••••••• F••••••••• I••• BD affiliatedFeb 21, 2001 to Dec 13, 2012 · Leesburg, Va
- P••••••• B•••••• F•••••••• to I••••••••• F•••••••• G••••• L••left Jan 17, 2020, registered Jan 3, 2020 (-14 days) · Other
- O•••• W•••••• I••• to P••••••• B•••••• F••••••••left Jan 7, 2020, registered Jan 24, 2013 (-2539 days) · Other
- C•••••••• F••••••••• I••• to O•••• W•••••• I•••left Dec 13, 2012, registered Nov 29, 2012 (-14 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
- 40derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address