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•••••• H••• A••••••••
- C••••• I••••••••• A••••••• L•• BD affiliated currentsince Nov 12, 2020 · Richmond, Va
- F•••• A••••• A••••••• S•••••••• I••• formerJul 2, 2012 to Nov 12, 2020 · Chesterfield, Mo
- F•••• A••••• S••••••••• I••• formerNov 29, 2010 to Jul 2, 2012 · San Diego, Ca
- N••• F•••••••• G••••• I••• formerMar 18, 2008 to Dec 8, 2010 · Richmond, Va
- E•••••••• A•••••••• L•• national BDMay 4, 2006 to Mar 20, 2008 · Richmond, Va
- T•••• S••••• S••••••••• I••• formerJan 24, 2005 to May 8, 2006 · Richmond, Va
- H• B•••• I••• formerJan 1, 2001 to Jan 25, 2005 · Richmond, Va
- F•••• A••••• A••••••• S•••••••• I••• to C••••• I••••••••• A••••••• L••left Nov 12, 2020, registered Nov 12, 2020 (0 days) · corporate re-registration, not a move
- F•••• A••••• S••••••••• I••• to F•••• A••••• A••••••• S•••••••• I•••left Jul 2, 2012, registered Jul 2, 2012 (0 days) · corporate re-registration, not a move
- N••• F•••••••• G••••• I••• to F•••• A••••• S••••••••• I•••left Dec 8, 2010, registered Nov 29, 2010 (-9 days) · Other
- E•••••••• A•••••••• L•• to N••• F•••••••• G••••• I•••left Mar 20, 2008, registered Mar 18, 2008 (-2 days) · Other
- T•••• S••••• S••••••••• I••• to E•••••••• A•••••••• L••left May 8, 2006, registered May 4, 2006 (-4 days) · Other
- H• B•••• I••• to T•••• S••••• S••••••••• I•••left Jan 25, 2005, registered Jan 24, 2005 (-1 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
- 34derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address