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.
S•••• E•••••• S•••••
- U•• F•••••••• S••••••• I••• wirehouse currentsince Jul 20, 2012 · Norfolk, Va
- W•••• F•••• A••••••• wirehouseOct 5, 2007 to Jul 23, 2012 · Norfolk, Va
- B••• I••••••••• S•••••••• I••• formerJul 25, 2006 to Oct 1, 2007 · Chesterfield, Va
- B••• I••••••••• S•••••••• I••• formerSep 21, 2005 to Jun 2, 2006 · Charlotte, Nc
- A••••••••• F•••••••• S•••••••• L•• national BDJul 18, 2005 to Aug 5, 2005 · Richmond, Va
- W•••• F•••• A••••••• to U•• F•••••••• S••••••• I•••left Jul 23, 2012, registered Jul 20, 2012 (-3 days) · Wirehouse to wirehouse
- B••• I••••••••• S•••••••• I••• to W•••• F•••• A•••••••left Oct 1, 2007, registered Oct 5, 2007 (4 days) · Other
- A••••••••• F•••••••• S•••••••• L•• to B••• I••••••••• S•••••••• I•••left Aug 5, 2005, registered Sep 21, 2005 (47 days) · Affiliated broker-dealer or bank to a newly registered adviser
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
- Wirehousederived
- Years in industry
- 21derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address