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.
B•••• E• G•••••
- R•••••• J•••• • A••••••••• I••• national BD currentsince Feb 15, 2017 · Richmond, Va
- C•••••• S••••••••• M••••••••• I••• independent RIAAug 7, 2009 to Feb 16, 2017 · Glen Allen, Va
- A••••••• • S••••••••• I••••••••• formerAug 12, 2005 to Aug 14, 2009 · Richmond, Va
- M••••• S•••••• D• I••• unclassifiedFeb 13, 2003 to Aug 29, 2005 · Richmond, Va
- C•••••• S••••••••• M••••••••• I••• to R•••••• J•••• • A••••••••• I•••left Feb 16, 2017, registered Feb 15, 2017 (-1 days) · Other · moved with a team
- A••••••• • S••••••••• I••••••••• to C•••••• S••••••••• M••••••••• I•••left Aug 14, 2009, registered Aug 7, 2009 (-7 days) · Other
- M••••• S•••••• D• I••• to A••••••• • S••••••••• I•••••••••left Aug 29, 2005, registered Aug 12, 2005 (-17 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
- National broker-dealer RIAderived
- Years in industry
- 25derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address