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.
K•••• D••• A••••••••
- A•••••••• A••••••• S•••••••• L•• state registered currentsince Sep 12, 2019 · Knoxville, Tn
- C•••••• R••••••••• P•••••••• L•• state registeredNov 8, 2017 to Sep 16, 2019 · Christiansburg, Va
- C••••••• F•••••••• D••••••• I••• BD affiliatedJan 2, 2013 to Dec 31, 2016 · Christiansburg, Va
- A•••••••• A••••••• S•••••••• L•• unclassifiedMay 14, 2012 to Dec 31, 2012 · Christiansburg, Va
- C•••••• R••••••••• P•••••••• L•• to A•••••••• A••••••• S•••••••• L••left Sep 16, 2019, registered Sep 12, 2019 (-4 days) · Other
- C••••••• F•••••••• D••••••• I••• to C•••••• R••••••••• P•••••••• L••left Dec 31, 2016, registered Nov 8, 2017 (312 days) · Other
- A•••••••• A••••••• S•••••••• L•• to C••••••• F•••••••• D••••••• I•••left Dec 31, 2012, registered Jan 2, 2013 (2 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
- STATE REGISTEREDderived
- Years in industry
- 28derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address