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.
T•••••• R••• D•••••
- C••••••• D••••• F•••••••• independent RIA currentsince May 7, 2018 · Richmond, Va
- C••••••• D••••• F••••••••• L•• formerFeb 17, 2017 to May 4, 2018 · Richmond, Va
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseJul 22, 2011 to Feb 21, 2017 · Richmond, Va
- C••••••• D••••• F••••••••• L•• to C••••••• D••••• F••••••••left May 4, 2018, registered May 7, 2018 (3 days) · channel change inside one enterprise, not a move
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to C••••••• D••••• F••••••••• L••left Feb 21, 2017, registered Feb 17, 2017 (-4 days) · Wirehouse to a newly registered adviser (no RAUM reported yet) · moved with a team
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
- Independent wealth managerderived
- Years in industry
- 15derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address