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.
K••••••• W••••• H••••
- R•••••• J•••• F•••••••• S••••••• A•••••••• I•• BD affiliated currentsince Aug 28, 2023 · Richmond, Va
- C••••••••• R••••••••• I••••••••• L•• independent RIAJan 17, 2020 to Apr 13, 2023 · Richmond, Va
- C••••••••• R••••••••• I••••••••• L•• independent RIAJan 27, 2017 to Dec 31, 2019 · Richmond, Va
- O•••• F•• I••• formerApr 3, 2014 to Jan 24, 2017 · Richmond, Va
- M••••• S•••••• wirehouseSep 19, 2012 to Apr 2, 2014 · Richmond, Va
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseJun 21, 2010 to Apr 16, 2012 · Richmond, Va
- C••••••••• R••••••••• I••••••••• L•• to R•••••• J•••• F•••••••• S••••••• A•••••••• I••left Apr 13, 2023, registered Aug 28, 2023 (137 days) · RIA to affiliated broker-dealer or bank
- O•••• F•• I••• to C••••••••• R••••••••• I••••••••• L••left Jan 24, 2017, registered Jan 27, 2017 (3 days) · Other · moved with a team
- M••••• S•••••• to O•••• F•• I•••left Apr 2, 2014, registered Apr 3, 2014 (1 days) · Other
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to M••••• S••••••left Apr 16, 2012, registered Sep 19, 2012 (156 days) · Wirehouse to wirehouse
- K••••••• W••••• H•••• left C••••••••• R••••••••• I••••••••• L•• for R•••••• J•••• F•••••••• S••••••• A•••••••• I•• (registered 2023-08-28)Apr 13, 2023 · 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
- 28derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address