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.
A•••• C•••••• B•••••
- T••••• A••••••• S•••••••• I••• BD affiliated currentsince Mar 16, 2020 · L••••Burg, Va
- E••••• J•••• national BDNov 8, 2013 to Jun 6, 2014 · L••••Burg, Va
- P•• W••••• M••••••••• BD affiliatedFeb 6, 2013 to Nov 19, 2013 · Monroeville, Pa
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseJun 15, 2011 to Jan 7, 2013 · Great Falls, Va
- W•••• F•••• A••••••• wirehouseJun 4, 2008 to Jun 7, 2011 · L••••Burg, Va
- B••• I••••••••• S•••••••• I••• formerJun 6, 2006 to Jun 11, 2008 · L••••Burg, Va
- E••••• J•••• to T••••• A••••••• S•••••••• I•••left Jun 6, 2014, registered Mar 16, 2020 (2110 days) · Affiliated broker-dealer or bank to another
- P•• W••••• M••••••••• to E••••• J••••left Nov 19, 2013, registered Nov 8, 2013 (-11 days) · Other
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to P•• W••••• M•••••••••left Jan 7, 2013, registered Feb 6, 2013 (30 days) · Other
- W•••• F•••• A••••••• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••left Jun 7, 2011, registered Jun 15, 2011 (8 days) · Wirehouse to wirehouse
- B••• I••••••••• S•••••••• I••• to W•••• F•••• A•••••••left Jun 11, 2008, registered Jun 4, 2008 (-7 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
- Broker-dealer affiliated wealth managerderived
- Years in industry
- 20derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address