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.
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- R•••••• J•••• F•••••••• S••••••• A•••••••• I•• BD affiliated currentsince Jan 12, 2010 · Glen Allen, Va
- C••••• I••••••••• S••••••• L•• formerMay 19, 2008 to Jan 12, 2010 · Richmond, Va
- W•••• F•••• A••••••• wirehouseOct 29, 2003 to May 12, 2008 · Glen Allen, Va
- A••••••••• F•••••••• S•••••••• L•• national BDJan 5, 1999 to May 30, 2003 · Richmond, Va
- C••••• I••••••••• S••••••• L•• to R•••••• J•••• F•••••••• S••••••• A•••••••• I••left Jan 12, 2010, registered Jan 12, 2010 (0 days) · Other
- W•••• F•••• A••••••• to C••••• I••••••••• S••••••• L••left May 12, 2008, registered May 19, 2008 (7 days) · Other
- A••••••••• F•••••••• S•••••••• L•• to W•••• F•••• A•••••••left May 30, 2003, registered Oct 29, 2003 (152 days) · Affiliated broker-dealer or bank to wirehouse
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
- 28derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address