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• G••• L•• former currentsince May 5, 2020 · Richmond, Va
- M•• I•••••••• S•••••••• L•• BD affiliatedMar 23, 2018 to Apr 9, 2020 · Glen Allen, Va
- O••••••••• S••••••••• I••• BD affiliatedDec 28, 2015 to Feb 26, 2018 · Fort Meyers, Fl
- W•••••• • R••• formerApr 4, 2011 to Aug 25, 2011 · Owings Mills, Md
- M•• I•••••••• S•••••••• L•• to D• G••• L••left Apr 9, 2020, registered May 5, 2020 (26 days) · Affiliated broker-dealer or bank to a newly registered adviser
- O••••••••• S••••••••• I••• to M•• I•••••••• S•••••••• L••left Feb 26, 2018, registered Mar 23, 2018 (25 days) · Other
- W•••••• • R••• to O••••••••• S••••••••• I•••left Aug 25, 2011, registered Dec 28, 2015 (1586 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
- Former SEC-registered adviserderived
- Years in industry
- 26derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address