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•••••• H•••••• M••••••
- L•• F•••••••• L•• BD affiliated currentsince Dec 20, 2012 · Alexandria, Va
- B••• I••••••••• S•••••••• I••• formerMay 15, 2012 to Dec 19, 2012 · Falls Church, Va
- W•••• F•••• A••••••• wirehouseJun 21, 2004 to May 18, 2012 · Alexandria, Va
- M••••• S•••••• D• I••• unclassifiedOct 28, 1999 to Jun 15, 2004 · Greenville, De
- B••• I••••••••• S•••••••• I••• to L•• F•••••••• L••left Dec 19, 2012, registered Dec 20, 2012 (1 days) · Other
- W•••• F•••• A••••••• to B••• I••••••••• S•••••••• I•••left May 18, 2012, registered May 15, 2012 (-3 days) · Wirehouse to a newly registered adviser (no RAUM reported yet)
- M••••• S•••••• D• I••• to W•••• F•••• A•••••••left Jun 15, 2004, registered Jun 21, 2004 (6 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
- 28derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address