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••• M••••••• B•••••
- S•••••• P••••••• I••••••••• A•••••••• L•• BD affiliated currentsince Oct 20, 2021 · Stamford, Ct
- W•••• F•••• A••••••• wirehouseApr 30, 2008 to Oct 28, 2021 · Franklin, Va
- C•••••••• G••••• M•••••• I••• BD affiliatedFeb 21, 2006 to May 12, 2008 · Virginia Beach, Va
- L••• M•••• W••• W•••••• I••••••••• unclassifiedAug 17, 2000 to Feb 21, 2006 · Virginia Beach, Va
- W•••• F•••• A••••••• to S•••••• P••••••• I••••••••• A•••••••• L••left Oct 28, 2021, registered Oct 20, 2021 (-8 days) · Wirehouse to affiliated broker-dealer or bank
- C•••••••• G••••• M•••••• I••• to W•••• F•••• A•••••••left May 12, 2008, registered Apr 30, 2008 (-12 days) · Other
- L••• M•••• W••• W•••••• I••••••••• to C•••••••• G••••• M•••••• I•••left Feb 21, 2006, registered Feb 21, 2006 (0 days) · corporate re-registration, not a move
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