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••••••• D•••••• T•••••••••
- O••••••••• • C•• I••• BD affiliated currentsince Nov 20, 2019 · Richmond, Va
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseJan 30, 2015 to Nov 19, 2019 · Richmond, Va
- C•••••• S••••••••• M••••••••• I••• independent RIASep 4, 2009 to Feb 2, 2015 · Glen Allen, Va
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseJan 7, 2005 to Sep 10, 2009 · Richmond, Va
- W•••• F•••• A••••••• wirehouseFeb 25, 2000 to Jan 10, 2005 · Richmond, Va
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to O••••••••• • C•• I•••left Nov 19, 2019, registered Nov 20, 2019 (1 days) · Wirehouse to affiliated broker-dealer or bank
- C•••••• S••••••••• M••••••••• I••• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••left Feb 2, 2015, registered Jan 30, 2015 (-3 days) · Other
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to C•••••• S••••••••• M••••••••• I•••left Sep 10, 2009, registered Sep 4, 2009 (-6 days) · Other
- W•••• F•••• A••••••• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••left Jan 10, 2005, registered Jan 7, 2005 (-3 days) · Wirehouse 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
- 26derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address