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.
E••••• L••• C••••••
- L•• F•••••••• L•• BD affiliated currentsince Sep 29, 2021 · Clarksville, Va
- T••••• A••••••• S•••••••• I••• BD affiliatedFeb 17, 2021 to Sep 27, 2021 · Atlanta, Ga
- B••• S••••••••• L•• formerMar 6, 2018 to Feb 17, 2021 · Richmond, Va
- M••••• S•••••• wirehouseAug 26, 2011 to Feb 20, 2018 · Richmond, Va
- S••••••• I••••••••• S•••••••• I••• formerDec 11, 2007 to Jul 12, 2011 · Richmond, Va
- W•••• F•••• A••••••• wirehouseJan 23, 2006 to Nov 27, 2007 · St. Louis, Mo
- J••••• H•••••••• W••• L••••• L•• formerMay 19, 2003 to Jan 24, 2006 · Richmond, Va
- T••••• A••••••• S•••••••• I••• to L•• F•••••••• L••left Sep 27, 2021, registered Sep 29, 2021 (2 days) · Affiliated broker-dealer or bank to another · moved with a team
- B••• S••••••••• L•• to T••••• A••••••• S•••••••• I•••left Feb 17, 2021, registered Feb 17, 2021 (0 days) · corporate re-registration, not a move
- M••••• S•••••• to B••• S••••••••• L••left Feb 20, 2018, registered Mar 6, 2018 (14 days) · Other
- S••••••• I••••••••• S•••••••• I••• to M••••• S••••••left Jul 12, 2011, registered Aug 26, 2011 (45 days) · Other
- W•••• F•••• A••••••• to S••••••• I••••••••• S•••••••• I•••left Nov 27, 2007, registered Dec 11, 2007 (14 days) · Other
- J••••• H•••••••• W••• L••••• L•• to W•••• F•••• A•••••••left Jan 24, 2006, registered Jan 23, 2006 (-1 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
- 31derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address