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.
H•••••• L•• M•••••
- C•••••••• I••••••••• R••••••• A•••••••• I••• BD affiliated currentsince Jan 2, 2019 · Glen Allen, Va
- B••• S••••••••• L•• formerSep 13, 2016 to Jan 4, 2019 · Richmond, Va
- C••• S••••• P••••••• BD affiliatedFeb 1, 2013 to Jan 2, 2015 · Richmond, Va
- S••••••• I••••••••• S•••••••• I••• formerSep 2, 2011 to Nov 19, 2012 · Richmond, Va
- B••• S••••••••• L•• to C•••••••• I••••••••• R••••••• A•••••••• I•••left Jan 4, 2019, registered Jan 2, 2019 (-2 days) · Affiliated broker-dealer or bank to another
- C••• S••••• P••••••• to B••• S••••••••• L••left Jan 2, 2015, registered Sep 13, 2016 (620 days) · Other
- S••••••• I••••••••• S•••••••• I••• to C••• S••••• P•••••••left Nov 19, 2012, registered Feb 1, 2013 (74 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
- 18derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address