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.
A••• W•••• H•••••
- T••••• A••••••• S•••••••• I••• BD affiliated currentsince Feb 17, 2021 · Beckley, Wv
- B••• S••••••••• L•• formerJan 2, 2018 to Feb 17, 2021 · Princeton, Wv
- B••• I••••••••• S•••••••• I••• formerOct 11, 2017 to Jan 2, 2018 · Princeton, Wv
- L•• F•••••••• L•• BD affiliatedSep 1, 2017 to Oct 5, 2017 · Beckley, Wv
- O•••• I••••••••• I••• BD affiliatedOct 16, 2015 to Sep 1, 2017 · Beckley, Wv
- A••••••• F•••••••• A•••••••• L•• BD affiliatedMar 21, 2013 to Oct 29, 2014 · Beckley, Wv
- W•••• F•••• A••••••• wirehouseDec 5, 2012 to Jan 8, 2013 · Roanoke, Va
- J••• M••••• S••••••••• L•• wirehouseOct 1, 2012 to Oct 2, 2012 · Clarksburg, Wv
- R•••••• J•••• F•••••••• S••••••• A•••••••• I•• BD affiliatedDec 15, 2009 to Jan 7, 2010 · Beckley, Wv
- C•••• I••••••••• S••••••• C•••• formerJun 27, 2007 to Oct 1, 2012 · Clarksburg, Wv
- B••• S••••••••• L•• to T••••• A••••••• S•••••••• I•••left Feb 17, 2021, registered Feb 17, 2021 (0 days) · corporate re-registration, not a move
- B••• I••••••••• S•••••••• I••• to B••• S••••••••• L••left Jan 2, 2018, registered Jan 2, 2018 (0 days) · corporate re-registration, not a move
- L•• F•••••••• L•• to B••• I••••••••• S•••••••• I•••left Oct 5, 2017, registered Oct 11, 2017 (6 days) · Other
- O•••• I••••••••• I••• to L•• F•••••••• L••left Sep 1, 2017, registered Sep 1, 2017 (0 days) · Other
- A••••••• F•••••••• A•••••••• L•• to O•••• I••••••••• I•••left Oct 29, 2014, registered Oct 16, 2015 (352 days) · Other
- W•••• F•••• A••••••• to A••••••• F•••••••• A•••••••• L••left Jan 8, 2013, registered Mar 21, 2013 (72 days) · Wirehouse to a newly registered adviser (no RAUM reported yet)
- J••• M••••• S••••••••• L•• to W•••• F•••• A•••••••left Oct 2, 2012, registered Dec 5, 2012 (64 days) · Wirehouse to wirehouse
- C•••• I••••••••• S••••••• C•••• to R•••••• J•••• F•••••••• S••••••• A•••••••• I••left Oct 1, 2012, registered Dec 15, 2009 (-1021 days) · Other
- R•••••• J•••• F•••••••• S••••••• A•••••••• I•• to J••• M••••• S••••••••• L••left Jan 7, 2010, registered Oct 1, 2012 (998 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
- 21derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address