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.
W••••• S•••• H•••
- C••••••• W••••• A••••••• independent RIA currentsince Feb 20, 2020 · Richmond, Va
- A••••••••• F•••••••• S•••••••• L•• national BDApr 5, 2011 to Feb 25, 2020 · Glen Allen, Va
- W•••• F•••• A••••••• wirehouseOct 25, 2004 to Jan 19, 2007 · Richmond, Va
- A••••••••• F•••••••• S•••••••• L•• to C••••••• W••••• A•••••••left Feb 25, 2020, registered Feb 20, 2020 (-5 days) · Affiliated broker-dealer or bank to independent RIA
- W•••• F•••• A••••••• to A••••••••• F•••••••• S•••••••• L••left Jan 19, 2007, registered Apr 5, 2011 (1537 days) · Wirehouse to affiliated broker-dealer or bank
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
- 21derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address