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.
S•••• L••• L•••
- L•••••• S•• I••••••••• A•••••••• L••••• BD affiliated currentsince Sep 27, 2023 · Virginia Beach, Va
- C••••••••• F•••••••• N•••••• national BDMay 29, 2009 to Aug 9, 2023 · Virginia Beach, Va
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseApr 15, 2004 to Jun 1, 2009 · Norfolk, Va
- C••••••••• F•••••••• N•••••• to L•••••• S•• I••••••••• A•••••••• L•••••left Aug 9, 2023, registered Sep 27, 2023 (49 days) · Affiliated broker-dealer or bank to another
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to C••••••••• F•••••••• N••••••left Jun 1, 2009, registered May 29, 2009 (-3 days) · Wirehouse to affiliated broker-dealer or bank
- S•••• L••• L••• left C••••••••• F•••••••• N•••••• for L•••••• S•• I••••••••• A•••••••• L••••• (registered 2023-09-27)Aug 9, 2023 · 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
- 30derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address