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.
M••• R••• F•••••••
- C••••••• W••••• A••••••• independent RIA currentsince Apr 13, 2018 · Richmond, Va
- L•• F•••••••• I••• formerOct 24, 2007 to Apr 9, 2018 · San Jose, Ca
- W•••• F•••• A••••••• wirehouseNov 21, 2003 to Oct 26, 2007 · Glen Allen, Va
- A••••••••• F•••••••• S•••••••• L•• national BDJan 1, 2002 to Jul 29, 2003 · Richmond, Va
- L•• F•••••••• I••• to C••••••• W••••• A•••••••left Apr 9, 2018, registered Apr 13, 2018 (4 days) · Affiliated broker-dealer or bank to independent RIA
- W•••• F•••• A••••••• to L•• F•••••••• I•••left Oct 26, 2007, registered Oct 24, 2007 (-2 days) · Other
- A••••••••• F•••••••• S•••••••• L•• to W•••• F•••• A•••••••left Jul 29, 2003, registered Nov 21, 2003 (115 days) · Affiliated broker-dealer or bank to wirehouse
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
- Independent wealth managerderived
- Years in industry
- 24derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address