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.
T••••• R• K••••
- L•• F•••••••• L•• BD affiliated currentsince May 6, 2024 · Glen Allen, Va
- M••••••• I••••••••• N•••••• I••• BD affiliatedJun 25, 2020 to May 7, 2024 · Glen Allen, Va
- S•••••• N••••••• • C••••••• I••••••••• national BDMar 16, 2018 to Jul 6, 2020 · St. Louis, Mo
- B• C• Z•••••• A•• C•••••• formerSep 11, 2012 to Mar 16, 2018 · Richmond, Va
- M••••• S•••••• wirehouseJun 1, 2009 to Sep 11, 2012 · Richmond, Va
- M••••• S•••••• • C•• L•• unclassifiedApr 2, 2007 to Jun 1, 2009 · Richmond, Va
- M••••• S•••••• D• I••• unclassifiedSep 12, 2000 to Apr 2, 2007 · Richmond, Va
- M••••••• I••••••••• N•••••• I••• to L•• F•••••••• L••left May 7, 2024, registered May 6, 2024 (-1 days) · Affiliated broker-dealer or bank to another · moved with a team
- S•••••• N••••••• • C••••••• I••••••••• to M••••••• I••••••••• N•••••• I•••left Jul 6, 2020, registered Jun 25, 2020 (-11 days) · Affiliated broker-dealer or bank to another
- B• C• Z•••••• A•• C•••••• to S•••••• N••••••• • C••••••• I•••••••••left Mar 16, 2018, registered Mar 16, 2018 (0 days) · corporate re-registration, not a move
- M••••• S•••••• to B• C• Z•••••• A•• C••••••left Sep 11, 2012, registered Sep 11, 2012 (0 days) · Other
- M••••• S•••••• • C•• L•• to M••••• S••••••left Jun 1, 2009, registered Jun 1, 2009 (0 days) · corporate re-registration, not a move
- M••••• S•••••• D• I••• to M••••• S•••••• • C•• L••left Apr 2, 2007, registered Apr 2, 2007 (0 days) · corporate re-registration, not a move
- T••••• R• K•••• left M••••••• I••••••••• N•••••• I••• for L•• F•••••••• L•• (registered 2024-05-06)May 7, 2024 · 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
- Broker-dealer affiliated wealth managerderived
- Years in industry
- 26derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address