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•••• C•••••• M•••••
- L•• F•••••••• L•• BD affiliated currentsince Aug 30, 2021 · Blacksburg, Va
- C••••• A•••••• N••••••• L•• formerOct 18, 2017 to Aug 31, 2021 · Roanoke, Va
- I••••••••• C•••••• O• A••••••• I••• formerAug 18, 2014 to Dec 31, 2017 · Roanoke, Va
- S••••••• I••••••••• S•••••••• I••• formerDec 19, 2007 to Aug 25, 2014 · Bedford, Va
- O•••• F•• I••• formerMay 19, 2005 to Dec 12, 2007 · Roanoke, Va
- U•• F•••••••• S••••••• I••• wirehouseNov 4, 2002 to Apr 15, 2005 · Roanoke, Va
- C••••• A•••••• N••••••• L•• to L•• F•••••••• L••left Aug 31, 2021, registered Aug 30, 2021 (-1 days) · Affiliated broker-dealer or bank to another · moved with a team
- I••••••••• C•••••• O• A••••••• I••• to C••••• A•••••• N••••••• L••left Dec 31, 2017, registered Oct 18, 2017 (-74 days) · Other
- S••••••• I••••••••• S•••••••• I••• to I••••••••• C•••••• O• A••••••• I•••left Aug 25, 2014, registered Aug 18, 2014 (-7 days) · Other
- O•••• F•• I••• to S••••••• I••••••••• S•••••••• I•••left Dec 12, 2007, registered Dec 19, 2007 (7 days) · Other
- U•• F•••••••• S••••••• I••• to O•••• F•• I•••left Apr 15, 2005, registered May 19, 2005 (34 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
- 23derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address