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.
M•••••• R••••• F•••••
- A•••• C•••••• C•••• BD affiliated currentsince Mar 8, 2023 · Greer, Sc
- L•• F•••••••• L•• BD affiliatedJan 5, 2023 to Feb 22, 2023 · San Diego, Ca
- J• W• C••• A•••••••• I••• BD affiliatedAug 7, 2018 to Jan 4, 2023 · Alexandria, Va
- S••••••••• A•••••• A•••••••• I••• formerMar 17, 2016 to Aug 1, 2018 · Harrisonburg, Va
- U••••••••• W••••• M••••••••• L•• independent RIAFeb 21, 2014 to Mar 16, 2016 · Harrisonburg, Va
- S••••••••• A•••••• A•••••••• I••• formerDec 17, 2010 to Feb 19, 2014 · La Vista, Ne
- R•••••• J•••• F•••••••• S••••••• A•••••••• I•• BD affiliatedJan 2, 2009 to Dec 21, 2010 · Richmond, Va
- P••••••• G•••• unclassifiedFeb 25, 2005 to Dec 31, 2006 · Richmond, Va
- R•••••• J•••• F•••••••• S•••••••• I••• unclassifiedFeb 14, 2002 to Jan 2, 2009 · Richmond, Va
- L•• F•••••••• L•• to A•••• C•••••• C••••left Feb 22, 2023, registered Mar 8, 2023 (14 days) · RIA to affiliated broker-dealer or bank
- J• W• C••• A•••••••• I••• to L•• F•••••••• L••left Jan 4, 2023, registered Jan 5, 2023 (1 days) · Affiliated broker-dealer or bank to independent RIA
- S••••••••• A•••••• A•••••••• I••• to J• W• C••• A•••••••• I•••left Aug 1, 2018, registered Aug 7, 2018 (6 days) · Affiliated broker-dealer or bank to independent RIA
- U••••••••• W••••• M••••••••• L•• to S••••••••• A•••••• A•••••••• I•••left Mar 16, 2016, registered Mar 17, 2016 (1 days) · Other
- S••••••••• A•••••• A•••••••• I••• to U••••••••• W••••• M••••••••• L••left Feb 19, 2014, registered Feb 21, 2014 (2 days) · Other
- R•••••• J•••• F•••••••• S••••••• A•••••••• I•• to S••••••••• A•••••• A•••••••• I•••left Dec 21, 2010, registered Dec 17, 2010 (-4 days) · Other
- R•••••• J•••• F•••••••• S•••••••• I••• to P••••••• G••••left Jan 2, 2009, registered Feb 25, 2005 (-1407 days) · Other
- P••••••• G•••• to R•••••• J•••• F•••••••• S••••••• A•••••••• I••left Dec 31, 2006, registered Jan 2, 2009 (733 days) · Other
- M•••••• R••••• F••••• left L•• F•••••••• L•• for A•••• C•••••• C•••• (registered 2023-03-08)Feb 22, 2023 · Advisor changed firm · fact
- M•••••• R••••• F••••• left J• W• C••• A•••••••• I••• for L•• F•••••••• L•• (registered 2023-01-05)Jan 4, 2023 · Advisor changed firm · fact
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
- 35derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address