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•••••••• F•••• B•••
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouse currentsince Feb 22, 2023 · Virginia Beach, Va
- O••••••••• • C•• I••• BD affiliatedJan 24, 2022 to Feb 24, 2023 · Richmond, Va
- P•••••• A•••••• G••••• L•• BD affiliatedJan 28, 2021 to Jan 28, 2022 · Virginia Beach, Va
- A••••• A•• P••••••• S••••••• BD affiliatedJan 19, 2016 to Feb 24, 2020 · Norfolk, Va
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseJun 27, 2011 to Nov 18, 2015 · Virginia Beach, Va
- O••••••••• • C•• I••• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••left Feb 24, 2023, registered Feb 22, 2023 (-2 days) · Affiliated broker-dealer or bank to wirehouse
- P•••••• A•••••• G••••• L•• to O••••••••• • C•• I•••left Jan 28, 2022, registered Jan 24, 2022 (-4 days) · Affiliated broker-dealer or bank to another
- A••••• A•• P••••••• S••••••• to P•••••• A•••••• G••••• L••left Feb 24, 2020, registered Jan 28, 2021 (339 days) · Affiliated broker-dealer or bank to another
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to A••••• A•• P••••••• S•••••••left Nov 18, 2015, registered Jan 19, 2016 (62 days) · Other · moved with a team
- A•••••••• F•••• B••• left O••••••••• • C•• I••• for M•••••• L••••• P•••••• F••••• • S•••• I••••••••• (registered 2023-02-22)Feb 24, 2023 · a•••••• firm change · fact
- A•••••••• F•••• B••• left P•••••• A•••••• G••••• L•• for O••••••••• • C•• I••• (registered 2022-01-24)Jan 28, 2022 · a•••••• firm change · fact
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
- 15derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address