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.
T••••• S•••••• R•••••••
- W••••••••• A••••••• P••••••• L•• BD affiliated currentsince Jan 8, 2021 · West Chester, Pa
- W•••• F•••• A••••••• wirehouseFeb 28, 2007 to Jan 14, 2021 · Lynchburg, Va
- D•••••••• • C•••••• L•• BD affiliatedSep 1, 2005 to Jan 31, 2007 · Lynchburg, Va
- M••••• S•••••• D• I••• unclassifiedJul 25, 2001 to Aug 29, 2005 · Roanoke, Va
- W•••• F•••• A••••••• to W••••••••• A••••••• P••••••• L••left Jan 14, 2021, registered Jan 8, 2021 (-6 days) · Wirehouse to independent RIA · moved with a team
- D•••••••• • C•••••• L•• to W•••• F•••• A•••••••left Jan 31, 2007, registered Feb 28, 2007 (28 days) · Other
- M••••• S•••••• D• I••• to D•••••••• • C•••••• L••left Aug 29, 2005, registered Sep 1, 2005 (3 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
- 25derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address