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.
A••••• T••••• S•••••••
- L•• F•••••••• L•• BD affiliated currentsince Aug 30, 2021 · Fort Mill, Sc
- C••••• A•••••• N••••••• L•• formerOct 16, 2017 to Aug 30, 2021 · Moneta, Va
- I••••••••• C•••••• O• A••••••• I••• formerFeb 17, 2017 to Oct 16, 2017 · Roanoke, Va
- L•• F•••••••• L•• BD affiliatedOct 14, 2015 to Feb 24, 2017 · Roanoke, Va
- I••••••••• C•••••• O• A••••••• I••• formerAug 21, 2014 to Oct 14, 2015 · Roanoke, Va
- S••••••• I••••••••• S•••••••• I••• formerSep 16, 2011 to Aug 21, 2014 · Bedford, Va
- C••••• A•••••• N••••••• L•• to L•• F•••••••• L••left Aug 30, 2021, registered Aug 30, 2021 (0 days) · Affiliated broker-dealer or bank to another · moved with a team
- I••••••••• C•••••• O• A••••••• I••• to C••••• A•••••• N••••••• L••left Oct 16, 2017, registered Oct 16, 2017 (0 days) · Other · moved with a team
- L•• F•••••••• L•• to I••••••••• C•••••• O• A••••••• I•••left Feb 24, 2017, registered Feb 17, 2017 (-7 days) · Other · moved with a team
- I••••••••• C•••••• O• A••••••• I••• to L•• F•••••••• L••left Oct 14, 2015, registered Oct 14, 2015 (0 days) · Other · moved with a team
- S••••••• I••••••••• S•••••••• I••• to I••••••••• C•••••• O• A••••••• I•••left Aug 21, 2014, registered Aug 21, 2014 (0 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
- 18derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address