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.
P•••• H•••• G•••
- L•••• F••• A••••••• S••••••• BD affiliated currentsince Sep 30, 2022 · Williamsburg, Va
- C••••••• • C••• I••• formerJan 3, 2006 to Oct 6, 2022 · Williamsberg, Va
- R•••••• J•••• F•••••••• S•••••••• I••• unclassifiedNov 2, 2004 to Dec 31, 2005 · Williamsburg, Va
- C••••••• • C••• I••• to L•••• F••• A••••••• S•••••••left Oct 6, 2022, registered Sep 30, 2022 (-6 days) · Affiliated broker-dealer or bank to another · moved with a team
- R•••••• J•••• F•••••••• S•••••••• I••• to C••••••• • C••• I•••left Dec 31, 2005, registered Jan 3, 2006 (3 days) · Other
- P•••• H•••• G••• left C••••••• • C••• I••• for L•••• F••• A••••••• S••••••• (registered 2022-09-30)Oct 6, 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