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.
M••• E•••• T••••
- L•• F•••••••• L•• BD affiliated currentsince Feb 27, 2014 · Chester, Va
- O•••• I••••••••• I••• BD affiliatedFeb 23, 2010 to Mar 4, 2014 · Midlothian, Va
- C• W••••• M••••••••• L•• independent RIASep 14, 2005 to Feb 24, 2010 · Midlothian, Va
- U•••• F•••••••• S••••••• G••••• I••• unclassifiedJan 28, 2005 to May 31, 2005 · Midlothian, Va
- O•••• I••••••••• I••• to L•• F•••••••• L••left Mar 4, 2014, registered Feb 27, 2014 (-5 days) · Other
- C• W••••• M••••••••• L•• to O•••• I••••••••• I•••left Feb 24, 2010, registered Feb 23, 2010 (-1 days) · Other
- U•••• F•••••••• S••••••• G••••• I••• to C• W••••• M••••••••• L••left May 31, 2005, registered Sep 14, 2005 (106 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
- 21derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address