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.
J•••• F•••••••• C••••••
- A••••••••• F•••••••• S•••••••• L•• national BD currentsince May 16, 2022 · Midlothian, Va
- C••• B•••••••• S•••••••• I••• formerJan 10, 2018 to May 17, 2022 · Richmond, Va
- C•••••• I••••••••• unclassifiedApr 7, 2017 to Dec 31, 2017 · Richmond, Va
- O••••••••• S••••••••• I••• BD affiliatedOct 20, 2016 to Dec 20, 2016 · Midlothian, Va
- E•••••••• A•••••••• L•• national BDJun 18, 2015 to Oct 7, 2016 · Richmond, Va
- W•••• F•••• A••••••• wirehouseJul 10, 2012 to May 9, 2014 · Richmond, Va
- M••••• S•••••• wirehouseMay 17, 2011 to Dec 12, 2011 · Richmond, Va
- C••• B•••••••• S•••••••• I••• to A••••••••• F•••••••• S•••••••• L••left May 17, 2022, registered May 16, 2022 (-1 days) · Affiliated broker-dealer or bank to another · moved with a team
- C•••••• I••••••••• to C••• B•••••••• S•••••••• I•••left Dec 31, 2017, registered Jan 10, 2018 (10 days) · Other
- O••••••••• S••••••••• I••• to C•••••• I•••••••••left Dec 20, 2016, registered Apr 7, 2017 (108 days) · Other
- E•••••••• A•••••••• L•• to O••••••••• S••••••••• I•••left Oct 7, 2016, registered Oct 20, 2016 (13 days) · Other · moved with a team
- W•••• F•••• A••••••• to E•••••••• A•••••••• L••left May 9, 2014, registered Jun 18, 2015 (405 days) · Wirehouse to affiliated broker-dealer or bank
- M••••• S•••••• to W•••• F•••• A•••••••left Dec 12, 2011, registered Jul 10, 2012 (211 days) · Wirehouse to wirehouse
- J•••• F•••••••• C•••••• left C••• B•••••••• S•••••••• I••• for A••••••••• F•••••••• S•••••••• L•• (registered 2022-05-16)May 17, 2022 · Advisor changed firm · fact
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