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.
I•••••• M••••••
- A•••• A•••• M••••••••• I••• independent RIA currentsince Jan 24, 2019 · Falls Church, Va
- A•• F•••••••• W••••• M••••••••• L•• independent RIASep 27, 2018 to Dec 18, 2018 · Leesburg, Va
- A•• F•••••••• W••••• M••••••••• L•• independent RIAApr 28, 2018 to Sep 14, 2018 · Leesburg, Va
- S•••••••• I••••••••• M••••••••• formerJan 27, 2017 to Mar 8, 2018 · Saint Louis, Mo
- T• A••••••••• I••••••••• M••••••••• L•• formerOct 28, 2014 to Jul 25, 2016 · Reston, Va
- T• A••••••••• I••• formerOct 27, 2014 to Jul 25, 2016 · Reston, Va
- A•• F•••••••• W••••• M••••••••• L•• to A•••• A•••• M••••••••• I•••left Dec 18, 2018, registered Jan 24, 2019 (37 days) · RIA to RIA
- S•••••••• I••••••••• M••••••••• to A•• F•••••••• W••••• M••••••••• L••left Mar 8, 2018, registered Apr 28, 2018 (51 days) · Affiliated broker-dealer or bank to independent RIA
- T• A••••••••• I••••••••• M••••••••• L•• to S•••••••• I••••••••• M•••••••••left Jul 25, 2016, registered Jan 27, 2017 (186 days) · Other
- T• A••••••••• I••• to T• A••••••••• I••••••••• M••••••••• L••left Jul 25, 2016, registered Oct 28, 2014 (-636 days) · channel change inside one enterprise, not a move
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
- Independent wealth managerderived
- Years in industry
- 20derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address