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.
L••• A••••
- N••• F•••••• I••••••••• S•••••••• L•• BD affiliated currentsince Jul 10, 2018 · Vienna, Va
- W•••• F•••• A••••••• wirehouseJun 18, 2013 to Dec 31, 2013 · San Diego, Ca
- U•• F•••••••• S••••••• I••• wirehouseAug 31, 2005 to Mar 23, 2011 · Santa Rosa, Ca
- W•••• F•••• A••••••• to N••• F•••••• I••••••••• S•••••••• L••left Dec 31, 2013, registered Jul 10, 2018 (1652 days) · Wirehouse to affiliated broker-dealer or bank
- U•• F•••••••• S••••••• I••• to W•••• F•••• A•••••••left Mar 23, 2011, registered Jun 18, 2013 (818 days) · Wirehouse to wirehouse
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
- 32derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address