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•••••• A•••••• S•••••••
- N••••• W••••• A•••••••• L•• state registered currentsince May 18, 2024 · Abingdon, Va
- C••• L•• BD affiliatedSep 11, 2014 to Nov 8, 2023 · Abingdon, Va
- G••• W••••• A•••••••• I••• formerDec 6, 2013 to Sep 11, 2014 · Abingdon, Va
- L•• F•••••••• L•• BD affiliatedJun 27, 2003 to May 6, 2013 · Bristol, Tn
- C••• L•• to N••••• W••••• A•••••••• L••left Nov 8, 2023, registered May 18, 2024 (192 days) · Affiliated broker-dealer or bank to a state-registered adviser
- G••• W••••• A•••••••• I••• to C••• L••left Sep 11, 2014, registered Sep 11, 2014 (0 days) · Other
- L•• F•••••••• L•• to G••• W••••• A•••••••• I•••left May 6, 2013, registered Dec 6, 2013 (214 days) · Other
- M•••••• A•••••• S••••••• left C••• L•• for N••••• W••••• A•••••••• L•• (registered 2024-05-18)Nov 8, 2023 · Advisor changed firm · fact
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
- STATE REGISTEREDderived
- Years in industry
- 32derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address