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••• R• F••••••
- L•• F•••••••• L•• BD affiliated currentsince Jun 18, 2019 · Bridgeport, Wv
- O••••••••• • C•• I••• BD affiliatedAug 20, 2013 to Jun 7, 2019 · Clarksburg, Wv
- R•• C•••••• M••••••• L•• national BDMar 31, 2009 to Aug 23, 2013 · Clarksburg, Wv
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseFeb 3, 2009 to Feb 12, 2009 · Bridgeport, Wv
- O••••••••• • C•• I••• to L•• F•••••••• L••left Jun 7, 2019, registered Jun 18, 2019 (11 days) · Affiliated broker-dealer or bank to independent RIA
- R•• C•••••• M••••••• L•• to O••••••••• • C•• I•••left Aug 23, 2013, registered Aug 20, 2013 (-3 days) · Other
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to R•• C•••••• M••••••• L••left Feb 12, 2009, registered Mar 31, 2009 (47 days) · Wirehouse to affiliated broker-dealer or bank
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
- 17derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address