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.
A•••• L• R••••
- C•••••• S••••• • C••• I••• national BD currentsince Apr 22, 2022 · Alexandria, Va
- T• A••••••••• I••••••••• M••••••••• L•• formerNov 28, 2017 to Sep 7, 2023 · Glen Allen, Va
- T• A••••••••• I••• formerOct 30, 2017 to Oct 14, 2022 · Glen Allen, Va
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseOct 28, 2014 to Oct 20, 2017 · Colonial Heights, Va
- S••••••• I••••••••• S•••••••• I••• formerFeb 10, 2014 to Jun 6, 2014 · Mechanicsville, Va
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseMar 23, 2012 to Jan 9, 2014 · Charlottesville, Va
- T• A••••••••• I••••••••• M••••••••• L•• to C•••••• S••••• • C••• I•••left Sep 7, 2023, registered Apr 22, 2022 (-503 days) · corporate re-registration, not a move
- T• A••••••••• I••• to T• A••••••••• I••••••••• M••••••••• L••left Oct 14, 2022, registered Nov 28, 2017 (-1781 days) · corporate re-registration, not a move
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to T• A••••••••• I•••left Oct 20, 2017, registered Oct 30, 2017 (10 days) · Other
- S••••••• I••••••••• S•••••••• I••• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••left Jun 6, 2014, registered Oct 28, 2014 (144 days) · Other
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to S••••••• I••••••••• S•••••••• I•••left Jan 9, 2014, registered Feb 10, 2014 (32 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
- 22derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address