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.
B•••• M•••••• B•••
- C••••••••• F•••••••• N•••••• national BD currentsince Aug 25, 2017 · Virginia Beach, Va
- W•• A•••••••• L• formerApr 1, 2016 to Aug 29, 2017 · Norfolk, Va
- L••••••• A•••••••• L•• independent RIAJan 4, 2010 to Apr 25, 2016 · Yorkville, Il
- M•••••••• A••••••• S•••••••• L•• unclassifiedJul 31, 2008 to Dec 31, 2009 · Norfolk, Va
- N••• F•••••••• G••••• I••• formerFeb 24, 2003 to Jul 31, 2008 · Norfolk, Va
- V•••• F•••••••• A•••••••• I••• BD affiliatedSep 13, 2001 to Mar 3, 2003 · Glen Burnie, Md
- W•• A•••••••• L• to C••••••••• F•••••••• N••••••left Aug 29, 2017, registered Aug 25, 2017 (-4 days) · Other · moved with a team
- L••••••• A•••••••• L•• to W•• A•••••••• L•left Apr 25, 2016, registered Apr 1, 2016 (-24 days) · Other
- M•••••••• A••••••• S•••••••• L•• to L••••••• A•••••••• L••left Dec 31, 2009, registered Jan 4, 2010 (4 days) · Other
- N••• F•••••••• G••••• I••• to M•••••••• A••••••• S•••••••• L••left Jul 31, 2008, registered Jul 31, 2008 (0 days) · Other
- V•••• F•••••••• A•••••••• I••• to N••• F•••••••• G••••• I•••left Mar 3, 2003, registered Feb 24, 2003 (-7 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
- 29derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address