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.
U••• F••••• A••
- F•••• C••••••• I••••••• S•••••••• I••• BD affiliated currentsince Jul 8, 2019 · Columbia, Sc
- O•••• I••••••••• I••• BD affiliatedOct 30, 2017 to Jun 21, 2019 · Harrisonburg, Va
- L•• F•••••••• L•• BD affiliatedJan 30, 2017 to Oct 12, 2017 · Harrisonburg, Va
- O•••• I••••••••• I••• BD affiliatedFeb 17, 2016 to Feb 1, 2017 · Harrisonburg, Va
- W•••• F•••• A••••••• wirehouseDec 17, 2014 to Jan 29, 2016 · Roanoke, Va
- O•••• I••••••••• I••• to F•••• C••••••• I••••••• S•••••••• I•••left Jun 21, 2019, registered Jul 8, 2019 (17 days) · Affiliated broker-dealer or bank to another
- L•• F•••••••• L•• to O•••• I••••••••• I•••left Oct 12, 2017, registered Oct 30, 2017 (18 days) · Other
- O•••• I••••••••• I••• to L•• F•••••••• L••left Feb 1, 2017, registered Jan 30, 2017 (-2 days) · Other
- W•••• F•••• A••••••• to O•••• I••••••••• I•••left Jan 29, 2016, registered Feb 17, 2016 (19 days) · Other
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