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.
L•••• G• F•••••
- A••••••••• F•••••••• S•••••••• L•• national BD currentsince May 2, 2022 · Midlothian, Va
- T••••••• D•••• A•••• M••••••••• independent RIAMar 28, 2019 to May 2, 2022 · Richmond, Va
- W••••••••• C•••••• M••••••••• L•• independent RIASep 7, 2017 to Mar 29, 2019 · Richmond, Va
- S••••••••• A•••••• A•••••••• I••• formerDec 23, 2014 to Apr 18, 2017 · Williamsburg, Va
- W•••• F•••• A••••••• wirehouseOct 27, 2014 to Dec 23, 2014 · Norfolk, Va
- N••• F•••••••• G••••• I••• formerMay 23, 2013 to Aug 13, 2014 · Virginia Beach, Va
- T••••••• D•••• A•••• M••••••••• to A••••••••• F•••••••• S•••••••• L••left May 2, 2022, registered May 2, 2022 (0 days) · RIA to affiliated broker-dealer or bank
- W••••••••• C•••••• M••••••••• L•• to T••••••• D•••• A•••• M•••••••••left Mar 29, 2019, registered Mar 28, 2019 (-1 days) · RIA to RIA
- S••••••••• A•••••• A•••••••• I••• to W••••••••• C•••••• M••••••••• L••left Apr 18, 2017, registered Sep 7, 2017 (142 days) · Other
- W•••• F•••• A••••••• to S••••••••• A•••••• A•••••••• I•••left Dec 23, 2014, registered Dec 23, 2014 (0 days) · Other
- N••• F•••••••• G••••• I••• to W•••• F•••• A•••••••left Aug 13, 2014, registered Oct 27, 2014 (75 days) · Other
- Louis G Frates left Thompson Davis Asset Management for Ameriprise Financial Services, Llc (registered 2022-05-02)May 2, 2022 · Advisor changed firm · 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
- National broker-dealer RIAderived
- Years in industry
- 14derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address