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••••••••• E••••• T•••••
- T••••• A••••••• S•••••••• I••• BD affiliated currentsince Jun 28, 2022 · Roanoke, Va
- W•••• F•••• A••••••• wirehouseApr 5, 2010 to Jul 6, 2022 · Roanoke, Va
- S••••••• I••••••••• S•••••••• I••• formerJan 4, 2002 to Apr 5, 2010 · Roanoke, Va
- W•••• F•••• A••••••• to T••••• A••••••• S•••••••• I•••left Jul 6, 2022, registered Jun 28, 2022 (-8 days) · Wirehouse to affiliated broker-dealer or bank · moved with a team
- S••••••• I••••••••• S•••••••• I••• to W•••• F•••• A•••••••left Apr 5, 2010, registered Apr 5, 2010 (0 days) · Other
- C••••••••• E••••• T••••• left W•••• F•••• A••••••• for T••••• A••••••• S•••••••• I••• (registered 2022-06-28)Jul 6, 2022 · 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