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.
M•••••• D•••• S•••••
- L•• E••••••••• L•• BD affiliated currentsince Nov 14, 2024 · Roanoke, Va
- P•••• S••••••••• L•• no RAUMOct 1, 2018 to Nov 14, 2024 · Glen Allen, Va
- L•••• F••• A••••••• S••••••• BD affiliatedApr 30, 2015 to Sep 25, 2018 · Roanoke, Va
- I••••••••• A•••••• A•••••••• L•• i••••••••• wealthFeb 17, 2014 to Apr 30, 2015 · Roanoke, Va
- L•• F•••••••• L•• BD affiliatedSep 13, 2013 to Feb 5, 2014 · Roanoke, Va
- M•• F•••••••• S•••••••• I••• formerJul 28, 2008 to Sep 17, 2013 · Daleville, Va
- P•••• S••••••••• L•• to L•• E••••••••• L••left Nov 14, 2024, registered Nov 14, 2024 (0 days) · corporate re-registration, not a move
- L•••• F••• A••••••• S••••••• to P•••• S••••••••• L••left Sep 25, 2018, registered Oct 1, 2018 (6 days) · Affiliated broker-dealer or bank to another
- I••••••••• A•••••• A•••••••• L•• to L•••• F••• A••••••• S•••••••left Apr 30, 2015, registered Apr 30, 2015 (0 days) · Other · moved with a team
- L•• F•••••••• L•• to I••••••••• A•••••• A•••••••• L••left Feb 5, 2014, registered Feb 17, 2014 (12 days) · Other
- M•• F•••••••• S•••••••• I••• to L•• F•••••••• L••left Sep 17, 2013, registered Sep 13, 2013 (-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
- 20derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address