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.
R••••• E• W•••••
- C•••••••• F••••••••• I••• BD affiliated currentsince Mar 23, 2020 · Irvington, Va
- O•••• I••••••••• I••• BD affiliatedMay 31, 2019 to Feb 18, 2020 · Kilmarnock, Va
- S••••• F•••••••• G•••• I•• formerFeb 20, 2019 to May 15, 2019 · White Stone, Va
- O•••• I••••••••• I••• to C•••••••• F••••••••• I•••left Feb 18, 2020, registered Mar 23, 2020 (34 days) · Affiliated broker-dealer or bank to another
- S••••• F•••••••• G•••• I•• to O•••• I••••••••• I•••left May 15, 2019, registered May 31, 2019 (16 days) · Affiliated broker-dealer or bank to another
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
- 18derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address