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.
D•••••• C•••••• M••••••
- A••••••••• F•••••••• S•••••••• L•• national BD currentsince Aug 27, 2018 · Radford, Va
- W•••• F•••• A••••••• wirehouseMay 5, 2015 to Aug 27, 2018 · Blacksburg, Va
- L•• F•••••••• L•• BD affiliatedJan 8, 2015 to May 15, 2015 · Christiansburg, Va
- I••••••••• A•••••• A•••••••• L•• i••••••••• wealthDec 5, 2013 to Dec 8, 2014 · Christiansburg, Va
- W•••• F•••• A••••••• wirehouseFeb 12, 2007 to Dec 5, 2013 · Christiansburg, Va
- C•••••••• G••••• M•••••• I••• BD affiliatedNov 20, 2000 to Jan 25, 2007 · Bradenton, Fl
- W•••• F•••• A••••••• to A••••••••• F•••••••• S•••••••• L••left Aug 27, 2018, registered Aug 27, 2018 (0 days) · Wirehouse to affiliated broker-dealer or bank
- L•• F•••••••• L•• to W•••• F•••• A•••••••left May 15, 2015, registered May 5, 2015 (-10 days) · Other · moved with a team
- I••••••••• A•••••• A•••••••• L•• to L•• F•••••••• L••left Dec 8, 2014, registered Jan 8, 2015 (31 days) · Other
- W•••• F•••• A••••••• to I••••••••• A•••••• A•••••••• L••left Dec 5, 2013, registered Dec 5, 2013 (0 days) · Wirehouse to a newly registered adviser (no RAUM reported yet)
- C•••••••• G••••• M•••••• I••• to W•••• F•••• A•••••••left Jan 25, 2007, registered Feb 12, 2007 (18 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
- 33derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address