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.
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- C•••••••• I••••••••• R••••••• A•••••••• I••• BD affiliated currentsince Apr 2, 2020 · Rockingham, Va
- J•••• R•••• A••••••• unclassifiedMay 5, 2016 to Apr 3, 2020 · Harrisonburg, Va
- C••••••• A••••••• N••••••• L•• independent RIAFeb 8, 2016 to May 17, 2016 · Penn Laird, Va
- C••••••• A•••• M••••••••• L•• BD affiliatedDec 2, 2014 to Nov 30, 2015 · Harrisonburg, Va
- J•••• R•••• A••••••• to C•••••••• I••••••••• R••••••• A•••••••• I•••left Apr 3, 2020, registered Apr 2, 2020 (-1 days) · Other · moved with a team
- C••••••• A••••••• N••••••• L•• to J•••• R•••• A•••••••left May 17, 2016, registered May 5, 2016 (-12 days) · Other
- C••••••• A•••• M••••••••• L•• to C••••••• A••••••• N••••••• L••left Nov 30, 2015, registered Feb 8, 2016 (70 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