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.
T••••• A•••• S••••
- L•• F•••••••• L•• BD affiliated currentsince Nov 28, 2018 · Midlothian, Va
- S••••• F•••••••• G•••• I•• formerMar 1, 2012 to Dec 19, 2018 · Richmond, Va
- S••••••• R••••••••• A•••••••• I••• formerJan 16, 2007 to Mar 29, 2012 · Richmond, Va
- S••••••• R••••••••• P•••••••• I••• unclassifiedJul 7, 2005 to Dec 31, 2006 · Midlothian, Va
- T•• C•••••• M••••••••• C••••••••• independent RIAAug 29, 2003 to Jul 7, 2005 · Richmond, Va
- S••••••• R••••••••• P•••••••• I••• unclassifiedJan 13, 2003 to Aug 25, 2003 · Midlothian, Va
- S••••• F•••••••• G•••• I•• to L•• F•••••••• L••left Dec 19, 2018, registered Nov 28, 2018 (-21 days) · Affiliated broker-dealer or bank to independent RIA · moved with a team
- S••••••• R••••••••• A•••••••• I••• to S••••• F•••••••• G•••• I••left Mar 29, 2012, registered Mar 1, 2012 (-28 days) · Other
- S••••••• R••••••••• P•••••••• I••• to S••••••• R••••••••• A•••••••• I•••left Dec 31, 2006, registered Jan 16, 2007 (16 days) · Other
- T•• C•••••• M••••••••• C••••••••• to S••••••• R••••••••• P•••••••• I•••left Jul 7, 2005, registered Jul 7, 2005 (0 days) · Other
- S••••••• R••••••••• P•••••••• I••• to T•• C•••••• M••••••••• C•••••••••left Aug 25, 2003, registered Aug 29, 2003 (4 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
- 32derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address