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.
A••••• L••••• L••••
- R•••••• J•••• • A••••••••• I••• national BD currentsince Apr 21, 2022 · St. Petersburg, Fl
- D•••••••• • C•••••• L•• BD affiliatedSep 16, 2015 to Apr 4, 2022 · Richmond, Va
- B••• S••••••••• L•• formerJan 2, 2013 to Sep 16, 2015 · Richmond, Va
- S•••• • S••••••••• L•• formerSep 21, 2001 to Jan 2, 2013 · Richmond, Va
- D•••••••• • C•••••• L•• to R•••••• J•••• • A••••••••• I•••left Apr 4, 2022, registered Apr 21, 2022 (17 days) · Affiliated broker-dealer or bank to another
- B••• S••••••••• L•• to D•••••••• • C•••••• L••left Sep 16, 2015, registered Sep 16, 2015 (0 days) · Other
- S•••• • S••••••••• L•• to B••• S••••••••• L••left Jan 2, 2013, registered Jan 2, 2013 (0 days) · corporate re-registration, not a move
- A••••• L••••• L•••• left D•••••••• • C•••••• L•• for R•••••• J•••• • A••••••••• I••• (registered 2022-04-21)Apr 4, 2022 · Advisor changed firm · 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
- National broker-dealer RIAderived
- Years in industry
- 27derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address