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.
W•••••• P••• C••••
- L•• F•••••••• L•• BD affiliated currentsince Oct 15, 2020 · Glen Allen, Va
- O•••• I••••••••• I••• BD affiliatedSep 12, 2016 to Aug 14, 2020 · Mechanicsville, Va
- B••• I••••••••• S•••••••• I••• formerFeb 14, 2006 to Sep 8, 2016 · Richmond, Va
- W•••• F•••• A••••••• wirehouseJun 20, 2002 to Dec 5, 2005 · Richmond, Va
- W••••••• S••••••••• I••• unclassifiedFeb 14, 1995 to Jun 20, 2002 · Richmond, Va
- O•••• I••••••••• I••• to L•• F•••••••• L••left Aug 14, 2020, registered Oct 15, 2020 (62 days) · Affiliated broker-dealer or bank to another
- B••• I••••••••• S•••••••• I••• to O•••• I••••••••• I•••left Sep 8, 2016, registered Sep 12, 2016 (4 days) · Other
- W•••• F•••• A••••••• to B••• I••••••••• S•••••••• I•••left Dec 5, 2005, registered Feb 14, 2006 (71 days) · Wirehouse to a newly registered adviser (no RAUM reported yet)
- W••••••• S••••••••• I••• to W•••• F•••• A•••••••left Jun 20, 2002, registered Jun 20, 2002 (0 days) · corporate re-registration, not a move
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