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•••• L•• K•••••••
- L•• F•••••••• L•• BD affiliated currentsince Sep 27, 2021 · Roanoke, Va
- A•••••• A••••••• S••••••• formerDec 22, 2017 to Oct 1, 2021 · Roanaoke, Va
- I••••• F•••••••• C••••••••• formerDec 14, 2006 to Dec 22, 2017 · Charlotte, Nc
- G••••• W••••• M••••••••• I••• BD affiliatedMar 24, 2004 to Dec 15, 2006 · Roanoke, Va
- U••••• S••••••••• A•••••••• I••• unclassifiedJun 18, 2003 to Mar 24, 2004 · Roanoke, Va
- C•••••••• I••••••••• R•••••••• I••• unclassifiedJan 2, 2003 to Jun 13, 2003 · Roanoke, Va
- C••••• A••••••• L•• formerJun 6, 2001 to Dec 31, 2002 · Roanoke, Va
- A•••••• A••••••• S••••••• to L•• F•••••••• L••left Oct 1, 2021, registered Sep 27, 2021 (-4 days) · Affiliated broker-dealer or bank to another
- I••••• F•••••••• C••••••••• to A•••••• A••••••• S•••••••left Dec 22, 2017, registered Dec 22, 2017 (0 days) · Other
- G••••• W••••• M••••••••• I••• to I••••• F•••••••• C•••••••••left Dec 15, 2006, registered Dec 14, 2006 (-1 days) · Other
- U••••• S••••••••• A•••••••• I••• to G••••• W••••• M••••••••• I•••left Mar 24, 2004, registered Mar 24, 2004 (0 days) · Other
- C•••••••• I••••••••• R•••••••• I••• to U••••• S••••••••• A•••••••• I•••left Jun 13, 2003, registered Jun 18, 2003 (5 days) · Other
- C••••• A••••••• L•• to C•••••••• I••••••••• R•••••••• I•••left Dec 31, 2002, registered Jan 2, 2003 (2 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