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••• H•••••
- J••• M••••• S••••••••• L•• wirehouse currentsince Oct 25, 2021 · Summerville, Sc
- S•••••••• A•••••• N•••••• independent RIADec 6, 2019 to Oct 12, 2021 · Lynchburg, Va
- B••••••••• C•••••• M••••••••• L•• independent RIANov 13, 2019 to Dec 16, 2019 · Wheaton, Il
- B••• S••••••••• L•• formerJan 2, 2018 to Oct 28, 2019 · Forest, Va
- B••• I••••••••• S•••••••• I••• formerSep 9, 2016 to Jan 2, 2018 · Forest, Va
- W•••• F•••• A••••••• wirehouseDec 5, 2008 to Apr 1, 2016 · Appomattox, Va
- S•••••••• A•••••• N•••••• to J••• M••••• S••••••••• L••left Oct 12, 2021, registered Oct 25, 2021 (13 days) · RIA to wirehouse
- B••••••••• C•••••• M••••••••• L•• to S•••••••• A•••••• N••••••left Dec 16, 2019, registered Dec 6, 2019 (-10 days) · RIA to RIA
- B••• S••••••••• L•• to B••••••••• C•••••• M••••••••• L••left Oct 28, 2019, registered Nov 13, 2019 (16 days) · Affiliated broker-dealer or bank to independent RIA
- B••• I••••••••• S•••••••• I••• to B••• S••••••••• L••left Jan 2, 2018, registered Jan 2, 2018 (0 days) · corporate re-registration, not a move
- W•••• F•••• A••••••• to B••• I••••••••• S•••••••• I•••left Apr 1, 2016, registered Sep 9, 2016 (161 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
- Wirehousederived
- Years in industry
- 17derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address