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.
J•••• T••••• P•••••
- W•••• F•••• A••••••• wirehouse currentsince Nov 30, 2021 · Chester, Va
- L•• F•••••••• L•• BD affiliatedApr 1, 2019 to Dec 8, 2021 · Midlothian, Va
- F•••• H•••••• A•••••••• I•• formerJan 8, 2016 to Mar 29, 2019 · Richmond, Va
- M•• I•••••••• S•••••••• L•• BD affiliatedMar 26, 2015 to Dec 24, 2015 · Glen Allen, Va
- A••••••• F•••••••• A•••••••• L•• BD affiliatedFeb 27, 2012 to Feb 26, 2015 · Richmond, Va
- C••••• I••••••••• S••••••• L•• formerAug 16, 2005 to Aug 2, 2011 · Richmond, Va
- F•••• M••••• A•••••••• I••• unclassifiedJan 4, 2003 to Nov 29, 2006 · Richmond, Va
- W•••• F•••• A••••••• wirehouseJun 20, 2002 to Nov 20, 2002 · Richmond, Va
- W••••••• S••••••••• I••• unclassifiedMar 21, 2000 to Jun 20, 2002 · Charlotte, Nc
- L•• F•••••••• L•• to W•••• F•••• A•••••••left Dec 8, 2021, registered Nov 30, 2021 (-8 days) · Affiliated broker-dealer or bank to wirehouse
- F•••• H•••••• A•••••••• I•• to L•• F•••••••• L••left Mar 29, 2019, registered Apr 1, 2019 (3 days) · RIA to RIA
- M•• I•••••••• S•••••••• L•• to F•••• H•••••• A•••••••• I••left Dec 24, 2015, registered Jan 8, 2016 (15 days) · Other
- A••••••• F•••••••• A•••••••• L•• to M•• I•••••••• S•••••••• L••left Feb 26, 2015, registered Mar 26, 2015 (28 days) · Other
- C••••• I••••••••• S••••••• L•• to A••••••• F•••••••• A•••••••• L••left Aug 2, 2011, registered Feb 27, 2012 (209 days) · Other
- F•••• M••••• A•••••••• I••• to C••••• I••••••••• S••••••• L••left Nov 29, 2006, registered Aug 16, 2005 (-470 days) · Other
- W•••• F•••• A••••••• to F•••• M••••• A•••••••• I•••left Nov 20, 2002, registered Jan 4, 2003 (45 days) · Other
- W••••••• S••••••••• I••• to W•••• F•••• A•••••••left Jun 20, 2002, registered Jun 20, 2002 (0 days) · corporate re-registration, not a move
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
- Wirehousederived
- Years in industry
- 28derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address