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.
S••••• M•••••• L••••••
- I••••••••• F•••••••• P••••••• BD affiliated currentsince Feb 10, 2015 · Edina, Mn
- L•• F•••••••• L•• BD affiliatedNov 30, 2010 to Dec 21, 2011 · Fort Mill, Sc
- N•• A•••••••• I••• unclassifiedOct 19, 2009 to Nov 30, 2010 · Bryan, Oh
- L•• F•••••••• L•• to I••••••••• F•••••••• P•••••••left Dec 21, 2011, registered Feb 10, 2015 (1147 days) · Other
- N•• A•••••••• I••• to L•• F•••••••• L••left Nov 30, 2010, registered Nov 30, 2010 (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
- Broker-dealer affiliated wealth managerderived
- Years in industry
- 44derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address