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.
G••••• H•••••• W•••••••
- R•••••• J•••• F•••••••• S••••••• A•••••••• I•• BD affiliated currentsince Oct 6, 2017 · Virginia Beach, Va
- B••• S••••••••• L•• formerJan 2, 2013 to Oct 18, 2017 · Virginia Beach, Va
- S•••• • S••••••••• L•• formerFeb 13, 2009 to Jan 2, 2013 · Virginia Beach, Va
- U•• F•••••••• S••••••• I••• wirehouseApr 16, 2001 to Mar 4, 2009 · Norfolk, Va
- B••• S••••••••• L•• to R•••••• J•••• F•••••••• S••••••• A•••••••• I••left Oct 18, 2017, registered Oct 6, 2017 (-12 days) · Other · moved with a team
- S•••• • S••••••••• L•• to B••• S••••••••• L••left Jan 2, 2013, registered Jan 2, 2013 (0 days) · corporate re-registration, not a move
- U•• F•••••••• S••••••• I••• to S•••• • S••••••••• L••left Mar 4, 2009, registered Feb 13, 2009 (-19 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
- 30derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address