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.
C••••• M••••••• W•
- C••••• I••••••••• A••••••• L•• BD affiliated currentsince Jun 29, 2023 · Vienna, Va
- V••• F•••••••• A•••••••• I••• BD affiliatedSep 5, 2007 to Jun 9, 2021 · Bridgewater, Nj
- B••• I••••••••• S•••••••• I••• formerJun 27, 2005 to Aug 10, 2007 · Fairfax, Va
- B••• A•••• M••••••••• I••• unclassifiedJul 28, 2004 to Jun 24, 2005 · Raleigh, Nc
- B••• I••••••••• S•••••••• I••• formerApr 22, 2004 to Jul 28, 2004 · Charlotte, Nc
- J••• A••••••• • A••••••••• I••• unclassifiedMay 2, 2000 to Aug 29, 2003 · Vienna, Va
- V••• F•••••••• A•••••••• I••• to C••••• I••••••••• A••••••• L••left Jun 9, 2021, registered Jun 29, 2023 (750 days) · corporate re-registration, not a move
- B••• I••••••••• S•••••••• I••• to V••• F•••••••• A•••••••• I•••left Aug 10, 2007, registered Sep 5, 2007 (26 days) · Other
- B••• A•••• M••••••••• I••• to B••• I••••••••• S•••••••• I•••left Jun 24, 2005, registered Jun 27, 2005 (3 days) · Other
- B••• I••••••••• S•••••••• I••• to B••• A•••• M••••••••• I•••left Jul 28, 2004, registered Jul 28, 2004 (0 days) · Other
- J••• A••••••• • A••••••••• I••• to B••• I••••••••• S•••••••• I•••left Aug 29, 2003, registered Apr 22, 2004 (237 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
- 37derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address