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•••• R•••••• A•••••
- W•••• F•••• A••••••• wirehouse currentsince Jan 16, 2015 · Richmond, Va
- B••• S••••••••• L•• formerJan 2, 2013 to Jan 27, 2015 · Richmond, Va
- S•••• • S••••••••• L•• formerSep 14, 2004 to Jan 2, 2013 · Richmond, Va
- T••••• S••••••••• I••• unclassifiedJul 1, 2002 to Sep 13, 2004 · Richmond, Va
- D••••••• B••• S••••••••• I••• no RAUMJan 16, 2001 to Jul 11, 2002 · Richmond, Va
- B••• S••••••••• L•• to W•••• F•••• A•••••••left Jan 27, 2015, registered Jan 16, 2015 (-11 days) · Other · moved with a team
- S•••• • S••••••••• L•• to B••• S••••••••• L••left Jan 2, 2013, registered Jan 2, 2013 (0 days) · corporate re-registration, not a move
- T••••• S••••••••• I••• to S•••• • S••••••••• L••left Sep 13, 2004, registered Sep 14, 2004 (1 days) · Other
- D••••••• B••• S••••••••• I••• to T••••• S••••••••• I•••left Jul 11, 2002, registered Jul 1, 2002 (-10 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
- Wirehousederived
- Years in industry
- 38derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address