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•••• A••• B•••••••
- A••••••••• F•••••••• S•••••••• L•• national BD currentsince Jun 10, 2014 · Occoquan, Va
- V•• A••••••• S••••••• formerSep 15, 2003 to Jun 10, 2014 · Alexandria, Va
- W•••• F•••• A••••••• wirehouseSep 23, 2002 to Sep 17, 2003 · Alexandria, Va
- U•• F•••••••• S••••••• I••• wirehouseJun 4, 1994 to Oct 1, 2002 · Washington, Dc
- V•• A••••••• S••••••• to A••••••••• F•••••••• S•••••••• L••left Jun 10, 2014, registered Jun 10, 2014 (0 days) · Other
- W•••• F•••• A••••••• to V•• A••••••• S•••••••left Sep 17, 2003, registered Sep 15, 2003 (-2 days) · Other
- U•• F•••••••• S••••••• I••• to W•••• F•••• A•••••••left Oct 1, 2002, registered Sep 23, 2002 (-8 days) · Wirehouse to wirehouse
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
- 32derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address