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.
E•••••••• M••••••• M•••••
- L•• F•••••••• L•• BD affiliated currentsince Apr 27, 2022 · Williamsburg, Va
- W•••• F•••• A••••••• wirehouseMay 20, 2016 to Apr 20, 2022 · Richmond, Va
- D•••••••• • C•••••• L•• BD affiliatedDec 1, 2010 to May 17, 2016 · Richmond, Va
- W•••• F•••• A••••••• wirehouseMay 15, 2001 to Jun 6, 2002 · Hampton, Va
- W•••• F•••• A••••••• to L•• F•••••••• L••left Apr 20, 2022, registered Apr 27, 2022 (7 days) · Wirehouse to independent RIA
- D•••••••• • C•••••• L•• to W•••• F•••• A•••••••left May 17, 2016, registered May 20, 2016 (3 days) · Other
- W•••• F•••• A••••••• to D•••••••• • C•••••• L••left Jun 6, 2002, registered Dec 1, 2010 (3100 days) · Other
- E•••••••• M••••••• M••••• left W•••• F•••• A••••••• for L•• F•••••••• L•• (registered 2022-04-27)Apr 20, 2022 · Advisor changed firm · fact
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
- 30derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address