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.
J••••• W••••• T•••
- L•• F•••••••• L•• BD affiliated currentsince Jul 31, 2018 · Richmond, Va
- O•••• F•• I••• formerJun 3, 2013 to Aug 2, 2018 · Richmond, Va
- W•••• F•••• A••••••• wirehouseJul 27, 2007 to Jun 17, 2013 · Richmond, Va
- U•• F•••••••• S••••••• I••• wirehouseFeb 19, 2002 to Aug 8, 2007 · Richmond, Va
- O•••• F•• I••• to L•• F•••••••• L••left Aug 2, 2018, registered Jul 31, 2018 (-2 days) · Affiliated broker-dealer or bank to independent RIA · moved with a team
- W•••• F•••• A••••••• to O•••• F•• I•••left Jun 17, 2013, registered Jun 3, 2013 (-14 days) · Other
- U•• F•••••••• S••••••• I••• to W•••• F•••• A•••••••left Aug 8, 2007, registered Jul 27, 2007 (-12 days) · Wirehouse to wirehouse
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