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.
S••••• G••• W••••
- L•• F•••••••• L•• BD affiliated currentsince Apr 20, 2017 · Glen Allen, Va
- C••••• F••••••••• L•• independent RIAJan 16, 2014 to Apr 19, 2017 · Glen Allen, Va
- E••••• J•••• national BDSep 18, 2007 to Jul 16, 2010 · Richmond, Va
- C••••• F••••••••• L•• to L•• F•••••••• L••left Apr 19, 2017, registered Apr 20, 2017 (1 days) · Other · moved with a team
- E••••• J•••• to C••••• F••••••••• L••left Jul 16, 2010, registered Jan 16, 2014 (1280 days) · Affiliated broker-dealer or bank to independent RIA
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