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.
G••••• G•••••• B•••••••
- L•• F•••••••• L•• BD affiliated currentsince Feb 28, 2014 · Vienna, Va
- L•• F•••••••• L•• BD affiliatedOct 3, 2008 to Feb 27, 2014 · Vienna, Va
- B••• I••••••••• S•••••••• I••• formerSep 26, 2006 to Oct 3, 2008 · Manassas, Va
- W•••• F•••• A••••••• wirehouseJul 1, 2003 to Jul 20, 2004 · Vienna, Va
- P••••••••• E••••• G••••• L•• unclassifiedAug 14, 2001 to Jul 1, 2003 · Vienna, Va
- B••• I••••••••• S•••••••• I••• to L•• F•••••••• L••left Oct 3, 2008, registered Oct 3, 2008 (0 days) · Other
- W•••• F•••• A••••••• to B••• I••••••••• S•••••••• I•••left Jul 20, 2004, registered Sep 26, 2006 (798 days) · Wirehouse to a newly registered adviser (no RAUM reported yet)
- P••••••••• E••••• G••••• L•• to W•••• F•••• A•••••••left Jul 1, 2003, registered Jul 1, 2003 (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
- 25derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address