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.
J••••• E••• B••••••••
- L•• F•••••••• L•• BD affiliated currentsince Nov 28, 2018 · Midlothian, Va
- S••••• F•••••••• G•••• I•• formerJul 22, 2014 to Dec 19, 2018 · Richmond, Va
- S••••••• I••••••••• I••• formerDec 16, 2009 to Jul 23, 2014 · Albany, Ny
- S••••••• F•••••••• S•••••••• I••• formerSep 22, 2006 to Dec 18, 2009 · Midlothian, Va
- S••••• F•••••••• G•••• I•• to L•• F•••••••• L••left Dec 19, 2018, registered Nov 28, 2018 (-21 days) · Affiliated broker-dealer or bank to independent RIA · moved with a team
- S••••••• I••••••••• I••• to S••••• F•••••••• G•••• I••left Jul 23, 2014, registered Jul 22, 2014 (-1 days) · Other
- S••••••• F•••••••• S•••••••• I••• to S••••••• I••••••••• I•••left Dec 18, 2009, registered Dec 16, 2009 (-2 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