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•••• F•••••
- L•• F•••••••• L•• BD affiliated currentsince Jul 14, 2023 · Richmond, Va
- W•••• F•••• A••••••• wirehouseFeb 2, 2023 to Jul 17, 2023 · Richmond, Va
- R••••••••• I••••••••• G••••• L•• mixed wealthApr 9, 2015 to Jan 5, 2023 · Richmond, Va
- W•••• F•••• A••••••• to L•• F•••••••• L••left Jul 17, 2023, registered Jul 14, 2023 (-3 days) · Wirehouse to affiliated broker-dealer or bank
- R••••••••• I••••••••• G••••• L•• to W•••• F•••• A•••••••left Jan 5, 2023, registered Feb 2, 2023 (28 days) · RIA to wirehouse
- T•••• F••••• left W•••• F•••• A••••••• for L•• F•••••••• L•• (registered 2023-07-14)Jul 17, 2023 · Advisor changed firm · fact
- T•••• F••••• left R••••••••• I••••••••• G••••• L•• for W•••• F•••• A••••••• (registered 2023-02-02)Jan 5, 2023 · 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
- 13derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address