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.
B•••• M•••• R••••
- R•••• W••••• M••••••••• state registered currentsince Jul 21, 2008 · Chesapeake, Va
- W•••• C•••••• A•••••••• L•• independent RIAMay 25, 2007 to Jul 16, 2008 · Denver, Co
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseNov 20, 2006 to May 16, 2007 · Roanoke, Va
- S••••••• G•••• C•••••• unclassifiedDec 1, 2005 to Jul 20, 2006 · Miami, Fl
- O•• D••••••• F•••••••• A•••••••• L••• unclassifiedMay 13, 2005 to Feb 1, 2006 · L••••Burg, Va
- L•• F•••••••• L•• BD affiliatedJan 20, 2005 to Mar 24, 2005 · Harrisonburg, Va
- U•• F•••••••• S••••••• I••• wirehouseAug 30, 2004 to Dec 17, 2004 · L••••Burg, Va
- W•••• C•••••• A•••••••• L•• to R•••• W••••• M•••••••••left Jul 16, 2008, registered Jul 21, 2008 (5 days) · Other
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to W•••• C•••••• A•••••••• L••left May 16, 2007, registered May 25, 2007 (9 days) · Other
- S••••••• G•••• C•••••• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••left Jul 20, 2006, registered Nov 20, 2006 (123 days) · Other
- O•• D••••••• F•••••••• A•••••••• L••• to S••••••• G•••• C••••••left Feb 1, 2006, registered Dec 1, 2005 (-62 days) · Other
- L•• F•••••••• L•• to O•• D••••••• F•••••••• A•••••••• L•••left Mar 24, 2005, registered May 13, 2005 (50 days) · Other
- U•• F•••••••• S••••••• I••• to L•• F•••••••• L••left Dec 17, 2004, registered Jan 20, 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
- STATE REGISTEREDderived
- Years in industry
- 22derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address