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.
H••••• J•• B••••••
- S•••• W••••• M••••••••• L•• BD affiliated currentsince Jan 4, 2021 · Mclean, Va
- W•••• F•••• A••••••• wirehouseDec 10, 2004 to Dec 31, 2020 · Charlottesville, Va
- U•• F•••••••• S••••••• I••• wirehouseJun 11, 1999 to Dec 16, 2004 · Charlottesville, Va
- W•••• F•••• A••••••• to S•••• W••••• M••••••••• L••left Dec 31, 2020, registered Jan 4, 2021 (4 days) · Wirehouse to affiliated broker-dealer or bank
- U•• F•••••••• S••••••• I••• to W•••• F•••• A•••••••left Dec 16, 2004, registered Dec 10, 2004 (-6 days) · Wirehouse to wirehouse
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