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.
J••• A••• R•••••••
- L•• F•••••••• L•• BD affiliated currentsince Jun 26, 2018 · Roanoke, Va
- A••••••••• F•••••••• S•••••••• L•• national BDJun 13, 2014 to Jun 22, 2018 · Roanoke, Va
- I••••••••• C•••••• O• A••••••• I••• formerJan 25, 2011 to Jun 13, 2014 · Roanoke, Va
- O•••• I••••••••• I••• BD affiliatedJun 1, 2008 to Jan 14, 2011 · Roanoke, Va
- B• I••••••••• L•• unclassifiedApr 18, 2005 to Jun 1, 2008 · Roanoke, Va
- S••••••• I••••••••• S•••••••• I••• formerJan 3, 2005 to May 10, 2005 · Roanoke, Va
- N•• F•••••••• S•••••••• I••• unclassifiedSep 30, 2002 to Jan 3, 2005 · Roanoke, Va
- I••••• F•••••••• C••••••••• formerJun 18, 2002 to Sep 30, 2002 · Roanoke, Va
- A••••••••• F•••••••• S•••••••• L•• to L•• F•••••••• L••left Jun 22, 2018, registered Jun 26, 2018 (4 days) · Affiliated broker-dealer or bank to independent RIA
- I••••••••• C•••••• O• A••••••• I••• to A••••••••• F•••••••• S•••••••• L••left Jun 13, 2014, registered Jun 13, 2014 (0 days) · Other
- O•••• I••••••••• I••• to I••••••••• C•••••• O• A••••••• I•••left Jan 14, 2011, registered Jan 25, 2011 (11 days) · Other
- B• I••••••••• L•• to O•••• I••••••••• I•••left Jun 1, 2008, registered Jun 1, 2008 (0 days) · corporate re-registration, not a move
- S••••••• I••••••••• S•••••••• I••• to B• I••••••••• L••left May 10, 2005, registered Apr 18, 2005 (-22 days) · Other
- N•• F•••••••• S•••••••• I••• to S••••••• I••••••••• S•••••••• I•••left Jan 3, 2005, registered Jan 3, 2005 (0 days) · corporate re-registration, not a move
- I••••• F•••••••• C••••••••• to N•• F•••••••• S•••••••• I•••left Sep 30, 2002, registered Sep 30, 2002 (0 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