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••••• A•••••• R•••••••
- W•••• F•••• A••••••• wirehouse currentsince Mar 25, 2020 · Charleston, Wv
- F•••• T•••• S••••••••• I••• BD affiliatedAug 25, 2010 to Mar 27, 2020 · H•••••••••, Wv
- H••••••••• F•••••••• A••••••• BD affiliatedOct 23, 2009 to Aug 6, 2010 · H•••••••••, Wv
- F•••••• B•••• W••••• L•• unclassifiedNov 25, 2002 to Jul 16, 2004 · H•••••••••, Wv
- F•••• T•••• S••••••••• I••• to W•••• F•••• A•••••••left Mar 27, 2020, registered Mar 25, 2020 (-2 days) · Affiliated broker-dealer or bank to wirehouse
- H••••••••• F•••••••• A••••••• to F•••• T•••• S••••••••• I•••left Aug 6, 2010, registered Aug 25, 2010 (19 days) · Other
- F•••••• B•••• W••••• L•• to H••••••••• F•••••••• A•••••••left Jul 16, 2004, registered Oct 23, 2009 (1925 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
- Wirehousederived
- Years in industry
- 25derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address