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.
C••••••••• M•••••• H••••••
- K••••• P•••••• W••••• S•••••••• L•• BD affiliated currentsince Aug 19, 2021 · Exmore, Va
- T••••• A••••••• S•••••••• I••• BD affiliatedSep 27, 2016 to Aug 19, 2021 · Virginia Beach, Va
- S••••••• I••••••••• S•••••••• I••• formerMay 31, 2013 to Dec 31, 2016 · Chesapeake, Va
- R•••••• J•••• F•••••••• S••••••• A•••••••• I•• BD affiliatedMar 31, 2010 to Jun 3, 2013 · Virginia Beach, Va
- B••• I••••••••• S•••••••• I••• formerJun 17, 2008 to Mar 26, 2010 · Charlotte, Nc
- W•••• F•••• A••••••• wirehouseOct 26, 2007 to Jun 17, 2008 · Richmond, Va
- M••••• S•••••• • C•• L•• unclassifiedApr 2, 2007 to Jul 30, 2007 · Virginia Beach, Va
- M••••• S•••••• D• I••• unclassifiedOct 13, 2006 to Apr 2, 2007 · Virginia Beach, Va
- T••••• A••••••• S•••••••• I••• to K••••• P•••••• W••••• S•••••••• L••left Aug 19, 2021, registered Aug 19, 2021 (0 days) · Affiliated broker-dealer or bank to another
- S••••••• I••••••••• S•••••••• I••• to T••••• A••••••• S•••••••• I•••left Dec 31, 2016, registered Sep 27, 2016 (-95 days) · corporate re-registration, not a move
- R•••••• J•••• F•••••••• S••••••• A•••••••• I•• to S••••••• I••••••••• S•••••••• I•••left Jun 3, 2013, registered May 31, 2013 (-3 days) · Other
- B••• I••••••••• S•••••••• I••• to R•••••• J•••• F•••••••• S••••••• A•••••••• I••left Mar 26, 2010, registered Mar 31, 2010 (5 days) · Other
- W•••• F•••• A••••••• to B••• I••••••••• S•••••••• I•••left Jun 17, 2008, registered Jun 17, 2008 (0 days) · Wirehouse to a newly registered adviser (no RAUM reported yet)
- M••••• S•••••• • C•• L•• to W•••• F•••• A•••••••left Jul 30, 2007, registered Oct 26, 2007 (88 days) · Other
- M••••• S•••••• D• I••• to M••••• S•••••• • C•• L••left Apr 2, 2007, registered Apr 2, 2007 (0 days) · corporate re-registration, 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
- Broker-dealer affiliated wealth managerderived
- Years in industry
- 19derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address