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.
- M••••• S•••••• wirehouse currentsince Aug 19, 2011 · Kansas City, Mo
- W•••• F•••• A••••••• wirehouseMar 29, 2006 to Aug 8, 2011 · Leesburg, Fl
- V•••• C••••••• I••• independent RIAOct 9, 2003 to May 23, 2005 · Tampa, Fl
- W••••• S••••• S••••••••• I••• formerOct 8, 2003 to Dec 17, 2004 · Orlando, Fl
- W•••• F•••• A••••••• wirehouseJul 1, 2003 to Oct 1, 2003 · Orlando, Fl
- P••••••••• E••••• G••••• L•• unclassifiedApr 20, 2000 to Jul 1, 2003 · Orlando, Fl
- W•••• F•••• A••••••• to M••••• S••••••left Aug 8, 2011, registered Aug 19, 2011 (11 days) · Wirehouse to wirehouse
- V•••• C••••••• I••• to W•••• F•••• A•••••••left May 23, 2005, registered Mar 29, 2006 (310 days) · Other
- W••••• S••••• S••••••••• I••• to V•••• C••••••• I•••left Dec 17, 2004, registered Oct 9, 2003 (-435 days) · Other
- W•••• F•••• A••••••• to W••••• S••••• S••••••••• I•••left Oct 1, 2003, registered Oct 8, 2003 (7 days) · Other
- P••••••••• E••••• G••••• L•• to W•••• F•••• A•••••••left Jul 1, 2003, registered Jul 1, 2003 (0 days) · corporate re-registration, not a move
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
- Wirehousederived
- Years in industry
- 44derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address