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••••••• R•••••• F••••••
- L•• F•••••••• L•• BD affiliated currentsince Jun 22, 2021 · Bluefield, Va
- W•••• F•••• A••••••• wirehouseMar 31, 2017 to Jun 25, 2021 · Bluefield, Va
- B••• I••••••••• S•••••••• I••• formerApr 20, 2016 to Mar 30, 2017 · Charlotte, Nc
- O•••• I••••••••• I••• BD affiliatedFeb 15, 2013 to Apr 4, 2016 · Wytheville, Nc
- C••••• I••••••••• S••••••• L•• formerNov 10, 2011 to Feb 7, 2013 · Bedford, Va
- U•••• F•••••••• S••••••• G••••• I••• unclassifiedMay 6, 2008 to Nov 10, 2011 · Bedford, Va
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseNov 18, 2005 to May 6, 2008 · Roanoke, Va
- U•• F•••••••• S••••••• I••• wirehouseJul 18, 2001 to Dec 2, 2005 · Roanoke, Va
- W•••• F•••• A••••••• to L•• F•••••••• L••left Jun 25, 2021, registered Jun 22, 2021 (-3 days) · Wirehouse to affiliated broker-dealer or bank · moved with a team
- B••• I••••••••• S•••••••• I••• to W•••• F•••• A•••••••left Mar 30, 2017, registered Mar 31, 2017 (1 days) · Other
- O•••• I••••••••• I••• to B••• I••••••••• S•••••••• I•••left Apr 4, 2016, registered Apr 20, 2016 (16 days) · Other
- C••••• I••••••••• S••••••• L•• to O•••• I••••••••• I•••left Feb 7, 2013, registered Feb 15, 2013 (8 days) · Other
- U•••• F•••••••• S••••••• G••••• I••• to C••••• I••••••••• S••••••• L••left Nov 10, 2011, registered Nov 10, 2011 (0 days) · Other
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to U•••• F•••••••• S••••••• G••••• I•••left May 6, 2008, registered May 6, 2008 (0 days) · Other
- U•• F•••••••• S••••••• I••• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••left Dec 2, 2005, registered Nov 18, 2005 (-14 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
- 25derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address