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.
E••••• A•••••• K••••
- L•• F•••••••• L•• BD affiliated currentsince Apr 26, 2021 · W•••••••, Mn
- V••• F•••••••• A•••••••• I••• BD affiliatedNov 3, 2014 to Apr 22, 2021 · North Chesterfield, Va
- W••••••• F•••••••• S•••••••• I••• formerDec 19, 2011 to Nov 7, 2014 · Richmond, Va
- P•••••••• S••••••••• I••• BD affiliatedAug 10, 2005 to Dec 21, 2011 · Moseley, Va
- O•••• F•• I••• formerMar 29, 2005 to Aug 3, 2005 · Midlothian, Va
- V••• F•••••••• A•••••••• I••• to L•• F•••••••• L••left Apr 22, 2021, registered Apr 26, 2021 (4 days) · Affiliated broker-dealer or bank to another
- W••••••• F•••••••• S•••••••• I••• to V••• F•••••••• A•••••••• I•••left Nov 7, 2014, registered Nov 3, 2014 (-4 days) · Other
- P•••••••• S••••••••• I••• to W••••••• F•••••••• S•••••••• I•••left Dec 21, 2011, registered Dec 19, 2011 (-2 days) · Other
- O•••• F•• I••• to P•••••••• S••••••••• I•••left Aug 3, 2005, registered Aug 10, 2005 (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
- 24derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address