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.
D•••••• E••••• M•••••
- A••••••••• F•••••••• S•••••••• L•• national BD currentsince May 2, 2019 · Galax, Va
- L•• F•••••••• L•• BD affiliatedFeb 14, 2018 to May 10, 2019 · Galax, Va
- I••••• F•••••••• C••••••••• formerMay 1, 2017 to Feb 14, 2018 · Galax, Va
- O•••• I••••••••• I••• BD affiliatedJun 4, 2008 to May 1, 2017 · Galax, Va
- L•• F•••••••• L•• to A••••••••• F•••••••• S•••••••• L••left May 10, 2019, registered May 2, 2019 (-8 days) · RIA to affiliated broker-dealer or bank
- I••••• F•••••••• C••••••••• to L•• F•••••••• L••left Feb 14, 2018, registered Feb 14, 2018 (0 days) · corporate re-registration, not a move
- O•••• I••••••••• I••• to I••••• F•••••••• C•••••••••left May 1, 2017, registered May 1, 2017 (0 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
- National broker-dealer RIAderived
- Years in industry
- 24derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address