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••••••• S••• F•••••
- C••••• I••••••••• A••••••• L•• BD affiliated currentsince Aug 10, 2023 · Richmond, Va
- S••••••• F•••••••• S•••••••• I••• formerApr 22, 2022 to Aug 10, 2023 · Richmond, Va
- N••••••••• M••••• W••••• M••••••••• C•••••• unclassifiedJan 3, 2007 to Apr 30, 2007 · Milwaukee, Wi
- N••••••••• M••••• I••••••••• S••••••••• no RAUMJun 1, 2005 to Sep 12, 2012 · Richmond, Va
- S••••••• F•••••••• S•••••••• I••• to C••••• I••••••••• A••••••• L••left Aug 10, 2023, registered Aug 10, 2023 (0 days) · corporate re-registration, not a move
- N••••••••• M••••• I••••••••• S••••••••• to N••••••••• M••••• W••••• M••••••••• C••••••left Sep 12, 2012, registered Jan 3, 2007 (-2079 days) · Other
- N••••••••• M••••• W••••• M••••••••• C•••••• to S••••••• F•••••••• S•••••••• I•••left Apr 30, 2007, registered Apr 22, 2022 (5471 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
- 21derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address