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••• B• D•••••• J••
- L•• F•••••••• L•• BD affiliated currentsince Apr 20, 2017 · Henrico, Va
- C••••• F••••••••• L•• independent RIAJan 21, 2014 to Apr 19, 2017 · Glen Allen, Va
- A••••••••• F•••••••• S•••••••• L•• national BDOct 5, 2009 to Sep 19, 2013 · Richmond, Va
- A••••••••• A•••••• S•••••••• I••• unclassifiedMay 11, 2009 to Oct 5, 2009 · Richmond, Va
- U•• F•••••••• S••••••• I••• wirehouseJul 30, 2004 to May 13, 2009 · Richmond, Va
- L••• M•••• W••• W•••••• I••••••••• unclassifiedAug 25, 1999 to Aug 4, 2004 · Richmond, Va
- C••••• F••••••••• L•• to L•• F•••••••• L••left Apr 19, 2017, registered Apr 20, 2017 (1 days) · Other · moved with a team
- A••••••••• F•••••••• S•••••••• L•• to C••••• F••••••••• L••left Sep 19, 2013, registered Jan 21, 2014 (124 days) · Affiliated broker-dealer or bank to independent RIA
- A••••••••• A•••••• S•••••••• I••• to A••••••••• F•••••••• S•••••••• L••left Oct 5, 2009, registered Oct 5, 2009 (0 days) · corporate re-registration, not a move
- U•• F•••••••• S••••••• I••• to A••••••••• A•••••• S•••••••• I•••left May 13, 2009, registered May 11, 2009 (-2 days) · Other
- L••• M•••• W••• W•••••• I••••••••• to U•• F•••••••• S••••••• I•••left Aug 4, 2004, registered Jul 30, 2004 (-5 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