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.
L•••• G••••••••
- M•• I•••••••• S•••••••• L•• BD affiliated currentsince Aug 18, 2021 · Springfield, Ma
- M•• I•••••••• S•••••••• L•• BD affiliatedJul 15, 2020 to Aug 3, 2021 · Glen Allen, Va
- V•••• F•••••••• A•••••••• I••• BD affiliatedJan 14, 2020 to Jul 15, 2020 · Richmond, Va
- W•••• F•••• A••••••• wirehouseJul 12, 2019 to Jan 13, 2020 · Glen Allen, Va
- C• W••••• M••••••••• L•• independent RIASep 15, 2017 to Nov 29, 2017 · Richmond, Va
- E•••••••• A•••••••• L•• national BDMay 6, 2014 to Jun 5, 2017 · Richmond, Va
- L•• F•••••••• L•• BD affiliatedJun 25, 2013 to Apr 8, 2014 · West Point, Va
- A••••• A•• P••••••• S••••••• BD affiliatedNov 16, 2011 to May 24, 2013 · Charlotte, Nc
- W•••• F•••• A••••••• wirehouseJun 6, 2005 to Aug 19, 2011 · Richmond, Va
- V•••• F•••••••• A•••••••• I••• to M•• I•••••••• S•••••••• L••left Jul 15, 2020, registered Jul 15, 2020 (0 days) · Affiliated broker-dealer or bank to another
- W•••• F•••• A••••••• to V•••• F•••••••• A•••••••• I•••left Jan 13, 2020, registered Jan 14, 2020 (1 days) · Wirehouse to affiliated broker-dealer or bank
- C• W••••• M••••••••• L•• to W•••• F•••• A•••••••left Nov 29, 2017, registered Jul 12, 2019 (590 days) · Other
- E•••••••• A•••••••• L•• to C• W••••• M••••••••• L••left Jun 5, 2017, registered Sep 15, 2017 (102 days) · Other
- L•• F•••••••• L•• to E•••••••• A•••••••• L••left Apr 8, 2014, registered May 6, 2014 (28 days) · Other
- A••••• A•• P••••••• S••••••• to L•• F•••••••• L••left May 24, 2013, registered Jun 25, 2013 (32 days) · Other
- W•••• F•••• A••••••• to A••••• A•• P••••••• S•••••••left Aug 19, 2011, registered Nov 16, 2011 (89 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
- 29derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address