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.
S••••• J••••• D•••••
- L•••• F••• A••••••• S••••••• BD affiliated currentsince Jan 26, 2023 · Roanoke, Va
- G••• L••• A•••••••• L•• i••••••••• wealthOct 12, 2021 to Feb 27, 2023 · Celebration, Fl
- L•••• F••• A••••••• S••••••• BD affiliatedApr 30, 2015 to Oct 7, 2021 · Roanoke, Va
- I••••••••• A•••••• A•••••••• L•• i••••••••• wealthFeb 19, 2014 to Apr 30, 2015 · Roanoke, Va
- L•• F•••••••• L•• BD affiliatedSep 13, 2013 to Feb 5, 2014 · Roanoke, Va
- M•• F•••••••• S•••••••• I••• formerFeb 2, 2004 to Sep 17, 2013 · Daleville, Va
- S••••••• I••••••••• I••• formerMar 14, 2000 to Jan 30, 2004 · Roanoke, Va
- G••• L••• A•••••••• L•• to L•••• F••• A••••••• S•••••••left Feb 27, 2023, registered Jan 26, 2023 (-32 days) · RIA to affiliated broker-dealer or bank
- L•••• F••• A••••••• S••••••• to G••• L••• A•••••••• L••left Oct 7, 2021, registered Oct 12, 2021 (5 days) · Affiliated broker-dealer or bank to independent RIA · moved with a team
- I••••••••• A•••••• A•••••••• L•• to L•••• F••• A••••••• S•••••••left Apr 30, 2015, registered Apr 30, 2015 (0 days) · Other · moved with a team
- L•• F•••••••• L•• to I••••••••• A•••••• A•••••••• L••left Feb 5, 2014, registered Feb 19, 2014 (14 days) · Other
- M•• F•••••••• S•••••••• I••• to L•• F•••••••• L••left Sep 17, 2013, registered Sep 13, 2013 (-4 days) · Other
- S••••••• I••••••••• I••• to M•• F•••••••• S•••••••• I•••left Jan 30, 2004, registered Feb 2, 2004 (3 days) · Other
- S••••• J••••• D••••• left G••• L••• A•••••••• L•• for L•••• F••• A••••••• S••••••• (registered 2023-01-26)Feb 27, 2023 · a•••••• firm change · fact
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