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.
D•••• B••• B••••••
- C••••• I••••••••• A••••••• L•• BD affiliated currentsince Aug 10, 2023 · Midlothian, Va
- S••••••• F•••••••• S•••••••• I••• formerMay 18, 2020 to Aug 10, 2023 · Midlothian, Va
- C••••• I••••••••• S••••••• L•• formerFeb 2, 2010 to Apr 1, 2010 · Mechanicsville, Va
- U•••• F•••••••• S••••••• G••••• I••• unclassifiedNov 17, 2008 to Feb 2, 2010 · Ashland, Va
- Q•• F•••••••• L•• unclassifiedNov 28, 2007 to Oct 31, 2008 · Mechanicsville, Va
- U•••• F•••••••• S••••••• G••••• I••• unclassifiedOct 17, 2005 to Nov 9, 2007 · Mechanicsville, Va
- W•••••• • R••• formerJul 7, 2005 to Oct 21, 2005 · Richmond, Va
- S••••••• F•••••••• S•••••••• I••• to C••••• I••••••••• A••••••• L••left Aug 10, 2023, registered Aug 10, 2023 (0 days) · corporate re-registration, not a move
- C••••• I••••••••• S••••••• L•• to S••••••• F•••••••• S•••••••• I•••left Apr 1, 2010, registered May 18, 2020 (3700 days) · Other
- U•••• F•••••••• S••••••• G••••• I••• to C••••• I••••••••• S••••••• L••left Feb 2, 2010, registered Feb 2, 2010 (0 days) · Other
- Q•• F•••••••• L•• to U•••• F•••••••• S••••••• G••••• I•••left Oct 31, 2008, registered Nov 17, 2008 (17 days) · Other
- U•••• F•••••••• S••••••• G••••• I••• to Q•• F•••••••• L••left Nov 9, 2007, registered Nov 28, 2007 (19 days) · Other
- W•••••• • R••• to U•••• F•••••••• S••••••• G••••• I•••left Oct 21, 2005, registered Oct 17, 2005 (-4 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