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.
B•••• T••••• W•••••
- C•••••• A••••••• S•••••••• I•• independent RIA currentsince Jun 19, 2017 · Alpine, Ca
- M••••••••• I••••••••• S•••••••• I••• formerMay 14, 2012 to Feb 18, 2016 · Neosho, Mo
- S•• I••••••••• A•••••••• I••• formerJul 13, 2009 to Nov 30, 2011 · Fresno, Ca
- M••••••••• I••••••••• S•••••••• I••• to C•••••• A••••••• S•••••••• I••left Feb 18, 2016, registered Jun 19, 2017 (487 days) · Other
- S•• I••••••••• A•••••••• I••• to M••••••••• I••••••••• S•••••••• I•••left Nov 30, 2011, registered May 14, 2012 (166 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
- Independent wealth managerderived
- Years in industry
- 30derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address