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.
D•••• B•••••• C•••••
- E•• F•••••••• A••••••• independent RIA currentsince Aug 23, 2019 · Roanoke, Va
- E•••••••• A•••••••• L•• national BDJul 18, 2016 to Jul 9, 2019 · Roanoke, Va
- G••••• W••••• M••••••••• I••• BD affiliatedSep 4, 2015 to Nov 11, 2015 · Roanoke, Va
- W•••• F•••• A••••••• wirehouseNov 8, 2012 to Jun 6, 2014 · Lexington, Va
- E•••••••• A•••••••• L•• to E•• F•••••••• A•••••••left Jul 9, 2019, registered Aug 23, 2019 (45 days) · Affiliated broker-dealer or bank to another
- G••••• W••••• M••••••••• I••• to E•••••••• A•••••••• L••left Nov 11, 2015, registered Jul 18, 2016 (250 days) · Other
- W•••• F•••• A••••••• to G••••• W••••• M••••••••• I•••left Jun 6, 2014, registered Sep 4, 2015 (455 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
- Independent wealth managerderived
- Years in industry
- 26derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address