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.
M•••••• J•••• T•••••
- C•••••••• I••••••••• R••••••• A•••••••• I••• BD affiliated currentsince Nov 28, 2011 · Richmond, Va
- S•••••• M••••• L•• independent RIANov 3, 2008 to Nov 23, 2011 · Houston, Tx
- Q•• F•••••••• L•• unclassifiedDec 5, 2005 to Oct 31, 2008 · Richmond, Va
- C•••••• I••••••••• A••••••• independent RIAApr 5, 2000 to Dec 2, 2005 · Richmond, Va
- S•••••• M••••• L•• to C•••••••• I••••••••• R••••••• A•••••••• I•••left Nov 23, 2011, registered Nov 28, 2011 (5 days) · Other
- Q•• F•••••••• L•• to S•••••• M••••• L••left Oct 31, 2008, registered Nov 3, 2008 (3 days) · Other
- C•••••• I••••••••• A••••••• to Q•• F•••••••• L••left Dec 2, 2005, registered Dec 5, 2005 (3 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
- 33derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address