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.
C•••• E••••• B•••••
- R•• C•••••• M••••••• L•• national BD currentsince Aug 6, 2020 · Charleston, Wv
- B••• S••••••••• L•• formerJan 2, 2013 to Aug 5, 2020 · Charleston, Wv
- S•••• • S••••••••• L•• formerNov 14, 2012 to Jan 2, 2013 · Charleston, Wv
- N••••••••• M••••• I••••••••• S••••••••• no RAUMFeb 28, 2012 to Nov 5, 2012 · Charleston, Wv
- B••• S••••••••• L•• to R•• C•••••• M••••••• L••left Aug 5, 2020, registered Aug 6, 2020 (1 days) · Affiliated broker-dealer or bank to another
- S•••• • S••••••••• L•• to B••• S••••••••• L••left Jan 2, 2013, registered Jan 2, 2013 (0 days) · corporate re-registration, not a move
- N••••••••• M••••• I••••••••• S••••••••• to S•••• • S••••••••• L••left Nov 5, 2012, registered Nov 14, 2012 (9 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
- 20derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address