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.
C••••••••• R••• O•••
- R•••••• J•••• F•••••••• S••••••• A•••••••• I•• BD affiliated currentsince Nov 2, 2022 · Roanoke, Va
- W•••• F•••• A••••••• wirehouseNov 5, 2019 to Aug 19, 2022 · Roanoke, Va
- M•• I•••••••• S•••••••• L•• BD affiliatedJan 9, 2019 to Sep 16, 2019 · Forest, Va
- B••• S••••••••• L•• formerJan 2, 2018 to Jul 9, 2018 · Charlotte, Nc
- B••• I••••••••• S•••••••• I••• formerAug 16, 2016 to Jan 2, 2018 · Charlotte, Nc
- W•••• F•••• A••••••• to R•••••• J•••• F•••••••• S••••••• A•••••••• I••left Aug 19, 2022, registered Nov 2, 2022 (75 days) · Wirehouse to affiliated broker-dealer or bank
- M•• I•••••••• S•••••••• L•• to W•••• F•••• A•••••••left Sep 16, 2019, registered Nov 5, 2019 (50 days) · Affiliated broker-dealer or bank to wirehouse
- B••• S••••••••• L•• to M•• I•••••••• S•••••••• L••left Jul 9, 2018, registered Jan 9, 2019 (184 days) · Affiliated broker-dealer or bank to another
- B••• I••••••••• S•••••••• I••• to B••• S••••••••• L••left Jan 2, 2018, registered Jan 2, 2018 (0 days) · corporate re-registration, not a move
- C••••••••• R••• O••• left W•••• F•••• A••••••• for R•••••• J•••• F•••••••• S••••••• A•••••••• I•• (registered 2022-11-02)Aug 19, 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
- Broker-dealer affiliated wealth managerderived
- Years in industry
- 11derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address