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.
C••••••••• A•••• A•••
- R•••••• J•••• • A••••••••• I••• national BD currentsince Sep 19, 2022 · Reston, Va
- R••••• W• B•••• • C•• I••••••••• mixed wealthJul 20, 2007 to Sep 25, 2022 · Reston, Va
- F•••••• B•••• W••••• L•• unclassifiedOct 18, 2001 to Aug 2, 2007 · Reston, Va
- R••••• W• B•••• • C•• I••••••••• to R•••••• J•••• • A••••••••• I•••left Sep 25, 2022, registered Sep 19, 2022 (-6 days) · RIA to affiliated broker-dealer or bank · moved with a team
- F•••••• B•••• W••••• L•• to R••••• W• B•••• • C•• I•••••••••left Aug 2, 2007, registered Jul 20, 2007 (-13 days) · Other
- C••••••••• A•••• A••• left R••••• W• B•••• • C•• I••••••••• for R•••••• J•••• • A••••••••• I••• (registered 2022-09-19)Sep 25, 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
- National broker-dealer RIAderived
- Years in industry
- 31derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address