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.
S•••• J••• Y••••
- M••••••• F•••••••• P••••••• L•• independent RIA currentsince Mar 8, 2016 · Warrenton, Va
- M••••••• F•••••••• P••••••• L•• formerNov 16, 2015 to Mar 3, 2016 · Warrenton, Va
- O•••• I••••••••• I••• BD affiliatedJun 1, 2008 to Mar 18, 2010 · Warrenton, Va
- B• I••••••••• L•• unclassifiedAug 5, 2004 to Jun 1, 2008 · Warrenton, Va
- B••• A•••• M••••••••• I••• unclassifiedMar 31, 2003 to May 4, 2004 · Warrenton, Va
- M••••••• F•••••••• P••••••• L•• to M••••••• F•••••••• P••••••• L••left Mar 3, 2016, registered Mar 8, 2016 (5 days) · channel change inside one enterprise, not a move · moved with a team
- O•••• I••••••••• I••• to M••••••• F•••••••• P••••••• L••left Mar 18, 2010, registered Nov 16, 2015 (2069 days) · Other
- B• I••••••••• L•• to O•••• I••••••••• I•••left Jun 1, 2008, registered Jun 1, 2008 (0 days) · corporate re-registration, not a move
- B••• A•••• M••••••••• I••• to B• I••••••••• L••left May 4, 2004, registered Aug 5, 2004 (93 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
- Independent wealth managerderived
- Years in industry
- 23derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address