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.
M•••••• R•• B•••••••
- L•• F•••••••• L•• BD affiliated currentsince Jul 21, 2021 · Edenton, Nc
- W•••••• • R••• formerDec 10, 2018 to Jul 21, 2021 · Charleroi, Pa
- C•••••• S••••• • C••• I••• national BDMay 23, 2013 to Oct 5, 2018 · Virginia Beach, Va
- W•••••• • R••• formerJun 8, 2010 to May 14, 2013 · Virginia Beach, Va
- M••• I••••••••• M••••••••• L•• unclassifiedApr 1, 2009 to May 12, 2010 · Newport News, Va
- F•••• C•••••• F•••••••• P•••••••• I••• formerSep 2, 2005 to Apr 13, 2009 · Virginia Beach, Va
- F•••• C•••••• B••• unclassifiedJan 4, 2005 to Sep 2, 2005 · Fort Worth, Tx
- W•••••• • R••• to L•• F•••••••• L••left Jul 21, 2021, registered Jul 21, 2021 (0 days) · corporate re-registration, not a move
- C•••••• S••••• • C••• I••• to W•••••• • R•••left Oct 5, 2018, registered Dec 10, 2018 (66 days) · Affiliated broker-dealer or bank to another
- W•••••• • R••• to C•••••• S••••• • C••• I•••left May 14, 2013, registered May 23, 2013 (9 days) · Other
- M••• I••••••••• M••••••••• L•• to W•••••• • R•••left May 12, 2010, registered Jun 8, 2010 (27 days) · Other
- F•••• C•••••• F•••••••• P•••••••• I••• to M••• I••••••••• M••••••••• L••left Apr 13, 2009, registered Apr 1, 2009 (-12 days) · Other
- F•••• C•••••• B••• to F•••• C•••••• F•••••••• P•••••••• I•••left Sep 2, 2005, registered Sep 2, 2005 (0 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
- 22derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address