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.
M•••••• S•••• C••
- L•• F•••••••• L•• BD affiliated currentsince Jul 26, 2019 · Chesapeake, Va
- A••••••••• F•••••••• S•••••••• L•• national BDAug 7, 2009 to Jul 31, 2019 · Chesapeake, Va
- M••••• S•••••• wirehouseJun 1, 2009 to Aug 31, 2009 · Newport News, Va
- C•••••••• G••••• M•••••• I••• BD affiliatedFeb 21, 2006 to Jun 1, 2009 · Virginia Beach, Va
- L••• M•••• W••• W•••••• I••••••••• unclassifiedSep 19, 2000 to Feb 21, 2006 · Virginia Beach, Va
- A••••••••• F•••••••• S•••••••• L•• to L•• F•••••••• L••left Jul 31, 2019, registered Jul 26, 2019 (-5 days) · Affiliated broker-dealer or bank to independent RIA · moved with a team
- M••••• S•••••• to A••••••••• F•••••••• S•••••••• L••left Aug 31, 2009, registered Aug 7, 2009 (-24 days) · Wirehouse to affiliated broker-dealer or bank
- C•••••••• G••••• M•••••• I••• to M••••• S••••••left Jun 1, 2009, registered Jun 1, 2009 (0 days) · corporate re-registration, not a move
- L••• M•••• W••• W•••••• I••••••••• to C•••••••• G••••• M•••••• I•••left Feb 21, 2006, registered Feb 21, 2006 (0 days) · corporate re-registration, not a move
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