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••• E••• E•••••
- R•••••• J•••• • A••••••••• I••• national BD currentsince May 29, 2013 · Richmond, Va
- B••• S••••••••• L•• formerJan 2, 2013 to May 31, 2013 · Richmond, Va
- S•••• • S••••••••• L•• formerFeb 8, 2005 to Jan 2, 2013 · Richmond, Va
- D•••••••• • C•••••• L•• BD affiliatedOct 22, 1999 to Feb 2, 2005 · Richmond, Va
- B••• S••••••••• L•• to R•••••• J•••• • A••••••••• I•••left May 31, 2013, registered May 29, 2013 (-2 days) · Other
- S•••• • S••••••••• L•• to B••• S••••••••• L••left Jan 2, 2013, registered Jan 2, 2013 (0 days) · corporate re-registration, not a move
- D•••••••• • C•••••• L•• to S•••• • S••••••••• L••left Feb 2, 2005, registered Feb 8, 2005 (6 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
- National broker-dealer RIAderived
- Years in industry
- 29derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address