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.
W•••• S•• P•••••
- L•••• F••• A••••••• S••••••• BD affiliated currentsince Aug 17, 2022 · Dallas, Tx
- M••••••••• S••••••••• I••• formerOct 25, 2010 to Oct 31, 2022 · Roanoke, Va
- W•••• F•••• A••••••• wirehouseMay 8, 2007 to May 28, 2009 · Roanoke, Va
- M••••••••• S••••••••• I••• to L•••• F••• A••••••• S•••••••left Oct 31, 2022, registered Aug 17, 2022 (-75 days) · RIA to affiliated broker-dealer or bank · moved with a team
- W•••• F•••• A••••••• to M••••••••• S••••••••• I•••left May 28, 2009, registered Oct 25, 2010 (515 days) · Other
- W•••• S•• P••••• left M••••••••• S••••••••• I••• for L•••• F••• A••••••• S••••••• (registered 2022-08-17)Oct 31, 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
- 27derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address