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•••••••• M•••••• S••••
- C•••••• S••••• • C••• I••• national BD currentsince Jan 10, 2024 · Glen Allen, Va
- M•• I•••••••• S•••••••• L•• BD affiliatedMay 2, 2023 to Jan 2, 2024 · Richmond, Va
- V••• I••••••••• M••••••••• C•• L•• asset managerMay 13, 2019 to Mar 6, 2023 · Atlanta, Ga
- M•• I•••••••• S•••••••• L•• to C•••••• S••••• • C••• I•••left Jan 2, 2024, registered Jan 10, 2024 (8 days) · Affiliated broker-dealer or bank to another
- V••• I••••••••• M••••••••• C•• L•• to M•• I•••••••• S•••••••• L••left Mar 6, 2023, registered May 2, 2023 (57 days) · Other
- C•••••••• M•••••• S•••• left M•• I•••••••• S•••••••• L•• for C•••••• S••••• • C••• I••• (registered 2024-01-10)Jan 2, 2024 · Advisor changed firm · fact
- C•••••••• M•••••• S•••• left V••• I••••••••• M••••••••• C•• L•• for M•• I•••••••• S•••••••• L•• (registered 2023-05-02)Mar 6, 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
- National broker-dealer RIAderived
- Years in industry
- 11derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address