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.
A•••••••• V•••••• B••••
- L•• F•••••••• L•• BD affiliated currentsince Jul 7, 2022 · Glen Allen, Va
- W•••• F•••• A••••••• wirehouseMar 15, 2021 to Jun 16, 2022 · Charlottesville, Va
- R•••••• J•••• F•••••••• S••••••• A•••••••• I•• BD affiliatedDec 1, 2017 to Aug 28, 2019 · Richmond, Va
- W•••• F•••• A••••••• wirehouseOct 14, 2015 to Dec 6, 2017 · Richmond, Va
- E•••••• W•••• P••••••• L•• formerNov 26, 2013 to May 6, 2015 · Richmond, Va
- S••••••• BD affiliatedFeb 1, 2005 to Dec 17, 2010 · Glen Allen, Va
- S•••• • S••••••••• L•• formerApr 23, 2001 to Feb 1, 2005 · Richmond, Va
- W•••• F•••• A••••••• to L•• F•••••••• L••left Jun 16, 2022, registered Jul 7, 2022 (21 days) · Wirehouse to independent RIA
- R•••••• J•••• F•••••••• S••••••• A•••••••• I•• to W•••• F•••• A•••••••left Aug 28, 2019, registered Mar 15, 2021 (565 days) · Affiliated broker-dealer or bank to wirehouse
- W•••• F•••• A••••••• to R•••••• J•••• F•••••••• S••••••• A•••••••• I••left Dec 6, 2017, registered Dec 1, 2017 (-5 days) · Other · moved with a team
- E•••••• W•••• P••••••• L•• to W•••• F•••• A•••••••left May 6, 2015, registered Oct 14, 2015 (161 days) · Other
- S••••••• to E•••••• W•••• P••••••• L••left Dec 17, 2010, registered Nov 26, 2013 (1075 days) · Other
- S•••• • S••••••••• L•• to S•••••••left Feb 1, 2005, registered Feb 1, 2005 (0 days) · Other
- A•••••••• V•••••• B•••• left W•••• F•••• A••••••• for L•• F•••••••• L•• (registered 2022-07-07)Jun 16, 2022 · 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
- 29derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address