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.
E•••• D•••• L••••••••
- J••••• M••••••••• S•••• L•• BD affiliated currentsince Oct 12, 2012 · Richmond, Va
- R•• C•••••• M••••••• L•• national BDSep 23, 2005 to Nov 8, 2012 · Richmond, Va
- L••• M•••• W••• W•••••• I••••••••• unclassifiedMay 31, 2005 to Sep 27, 2005 · Richmond, Va
- R•• C•••••• M••••••• L•• to J••••• M••••••••• S•••• L••left Nov 8, 2012, registered Oct 12, 2012 (-27 days) · Other
- L••• M•••• W••• W•••••• I••••••••• to R•• C•••••• M••••••• L••left Sep 27, 2005, registered Sep 23, 2005 (-4 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