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••• D•••• W••••••••
- C••••••••• F•••••••• N•••••• national BD currentsince Aug 21, 2017 · Virginia Beach, Va
- W•• A•••••••• L• formerMar 31, 2014 to Aug 21, 2017 · Dallas, Tx
- V•••• F•••••••• A•••••••• I••• BD affiliatedFeb 15, 2006 to Apr 3, 2014 · Norfolk, Va
- W•• A•••••••• L• to C••••••••• F•••••••• N••••••left Aug 21, 2017, registered Aug 21, 2017 (0 days) · Other · moved with a team
- V•••• F•••••••• A•••••••• I••• to W•• A•••••••• L•left Apr 3, 2014, registered Mar 31, 2014 (-3 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
- National broker-dealer RIAderived
- Years in industry
- 28derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address