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•••• W•••• D• V•••••••
- K••••• A••••••• S•••••••• L•• BD affiliated currentsince Jul 27, 2021 · Midlothian, Va
- C•••••••• I••••••••• R••••••• A•••••••• I••• BD affiliatedJul 29, 2020 to Aug 9, 2021 · Newport News, Va
- C••••••• R•••• W••••• M••••••••• L•• independent RIAJun 12, 2020 to Jul 15, 2020 · Newport News, Va
- L•• F•••••••• L•• BD affiliatedFeb 20, 2009 to Jun 12, 2020 · Gloucester Point, Va
- M••• I••••••••• M••••••••• L•• unclassifiedJan 12, 2004 to Feb 20, 2009 · Newport News, Va
- U•• F•••••••• S••••••• I••• wirehouseMar 25, 1999 to Dec 18, 2003 · Norfolk (Kp), Va
- C•••••••• I••••••••• R••••••• A•••••••• I••• to K••••• A••••••• S•••••••• L••left Aug 9, 2021, registered Jul 27, 2021 (-13 days) · Affiliated broker-dealer or bank to another
- C••••••• R•••• W••••• M••••••••• L•• to C•••••••• I••••••••• R••••••• A•••••••• I•••left Jul 15, 2020, registered Jul 29, 2020 (14 days) · RIA to affiliated broker-dealer or bank
- L•• F•••••••• L•• to C••••••• R•••• W••••• M••••••••• L••left Jun 12, 2020, registered Jun 12, 2020 (0 days) · Affiliated broker-dealer or bank to independent RIA · moved with a team
- M••• I••••••••• M••••••••• L•• to L•• F•••••••• L••left Feb 20, 2009, registered Feb 20, 2009 (0 days) · Other
- U•• F•••••••• S••••••• I••• to M••• I••••••••• M••••••••• L••left Dec 18, 2003, registered Jan 12, 2004 (25 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
- 27derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address