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••••• A••••• N••••••
- T••••• A••••••• S•••••••• I••• BD affiliated currentsince Feb 17, 2021 · Indian Land, Sc
- B••• S••••••••• L•• formerNov 16, 2018 to Feb 17, 2021 · Charlotte, Nc
- H••••• M••• I••••••••• I••• no RAUMJun 6, 2017 to Apr 30, 2018 · Springfield, Il
- W•••• F•••• A••••••• wirehouseMay 11, 2012 to May 3, 2017 · Richmond, Va
- U•• F•••••••• S••••••• I••• wirehouseFeb 21, 2008 to May 24, 2012 · Richmond, Va
- B••• O• A•••••• I••••••••• S•••••••• I••• unclassifiedJul 19, 2005 to Feb 11, 2008 · Richmond, Va
- W•••• F•••• I••••••••• L•• unclassifiedMay 15, 2001 to Sep 2, 2004 · Oakland, Ca
- B••• S••••••••• L•• to T••••• A••••••• S•••••••• I•••left Feb 17, 2021, registered Feb 17, 2021 (0 days) · corporate re-registration, not a move
- H••••• M••• I••••••••• I••• to B••• S••••••••• L••left Apr 30, 2018, registered Nov 16, 2018 (200 days) · Other
- W•••• F•••• A••••••• to H••••• M••• I••••••••• I•••left May 3, 2017, registered Jun 6, 2017 (34 days) · Other
- U•• F•••••••• S••••••• I••• to W•••• F•••• A•••••••left May 24, 2012, registered May 11, 2012 (-13 days) · Wirehouse to wirehouse
- B••• O• A•••••• I••••••••• S•••••••• I••• to U•• F•••••••• S••••••• I•••left Feb 11, 2008, registered Feb 21, 2008 (10 days) · Other
- W•••• F•••• I••••••••• L•• to B••• O• A•••••• I••••••••• S•••••••• I•••left Sep 2, 2004, registered Jul 19, 2005 (320 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
- 38derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address