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.
T•••••• E••••• S••••••
- C•••••••• I••••••••• R••••••• A•••••••• I••• BD affiliated currentsince Apr 16, 2021 · Glen Allen, Va
- O•••• F•• I••• formerDec 23, 2014 to Apr 20, 2021 · Glen Allen, Va
- L•• F•••••••• L•• BD affiliatedJun 25, 2004 to Dec 31, 2014 · Glen Allen, Va
- R•••••• J•••• F•••••••• S•••••••• I••• unclassifiedFeb 18, 2003 to Jul 8, 2004 · Richmond, Va
- O•••• F•• I••• to C•••••••• I••••••••• R••••••• A•••••••• I•••left Apr 20, 2021, registered Apr 16, 2021 (-4 days) · corporate re-registration, not a move
- L•• F•••••••• L•• to O•••• F•• I•••left Dec 31, 2014, registered Dec 23, 2014 (-8 days) · Other
- R•••••• J•••• F•••••••• S•••••••• I••• to L•• F•••••••• L••left Jul 8, 2004, registered Jun 25, 2004 (-13 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