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•••••••• S• F•••••
- C••••••••• F•••••••• N•••••• national BD currentsince Jul 30, 2018 · Roanoke, Va
- M•• I•••••••• S•••••••• L•• BD affiliatedMar 25, 2017 to Aug 2, 2018 · Roanoke, Va
- M•• F•••••••• S•••••••• I••• formerDec 1, 2015 to Mar 25, 2017 · Roanoke, Va
- S••••••• I••••••••• S•••••••• I••• formerMay 23, 2002 to Sep 21, 2015 · Roanoke, Va
- M•• I•••••••• S•••••••• L•• to C••••••••• F•••••••• N••••••left Aug 2, 2018, registered Jul 30, 2018 (-3 days) · Affiliated broker-dealer or bank to another · moved with a team
- M•• F•••••••• S•••••••• I••• to M•• I•••••••• S•••••••• L••left Mar 25, 2017, registered Mar 25, 2017 (0 days) · corporate re-registration, not a move
- S••••••• I••••••••• S•••••••• I••• to M•• F•••••••• S•••••••• I•••left Sep 21, 2015, registered Dec 1, 2015 (71 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
- 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