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.
C••••••••• M•••••• R•••••
- L•• F•••••••• L•• BD affiliated currentsince Jul 17, 2023 · Wake Forest, Nc
- O•••• I••••••••• I••• BD affiliatedJan 23, 2023 to Jul 7, 2023 · Blackstone, Va
- L•• F•••••••• L•• BD affiliatedDec 19, 2018 to Feb 2, 2023 · Wake Forest, Nc
- B••• S••••••••• L•• formerJan 2, 2018 to Dec 19, 2018 · South Boston, Va
- B••• I••••••••• S•••••••• I••• formerDec 2, 2002 to Jan 2, 2018 · Roanoke Rapids, Nc
- O•••• I••••••••• I••• to L•• F•••••••• L••left Jul 7, 2023, registered Jul 17, 2023 (10 days) · Affiliated broker-dealer or bank to another
- L•• F•••••••• L•• to O•••• I••••••••• I•••left Feb 2, 2023, registered Jan 23, 2023 (-10 days) · RIA to affiliated broker-dealer or bank
- B••• S••••••••• L•• to L•• F•••••••• L••left Dec 19, 2018, registered Dec 19, 2018 (0 days) · Affiliated broker-dealer or bank to independent RIA
- B••• I••••••••• S•••••••• I••• to B••• S••••••••• L••left Jan 2, 2018, registered Jan 2, 2018 (0 days) · corporate re-registration, not a move
- C••••••••• M•••••• R••••• left O•••• I••••••••• I••• for L•• F•••••••• L•• (registered 2023-07-17)Jul 7, 2023 · Advisor changed firm · fact
- C••••••••• M•••••• R••••• left L•• F•••••••• L•• for O•••• I••••••••• I••• (registered 2023-01-23)Feb 2, 2023 · Advisor changed firm · fact
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