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•••••• W••• P•••
- S••••• A••••••• I••• BD affiliated currentsince Jun 30, 2016 · Germantown, Tn
- S••••• A••• A•••• M••••••••• I••• formerAug 17, 2012 to Jun 30, 2016 · Germantown, Tn
- B••••••••• L•• formerJan 4, 2010 to Aug 8, 2012 · Chicago, Il
- H••• B••••• C•••••• M••••••••• I••• unclassifiedJun 18, 2008 to Jan 12, 2010 · Chicago, Il
- M••••• S•••••• • C•• L•• unclassifiedApr 2, 2007 to Jun 17, 2008 · Memphis, Tn
- M••••• S•••••• D• I••• unclassifiedDec 10, 2002 to Apr 2, 2007 · Memphis, Tn
- S••••• A••• A•••• M••••••••• I••• to S••••• A••••••• I•••left Jun 30, 2016, registered Jun 30, 2016 (0 days) · corporate re-registration, not a move
- B••••••••• L•• to S••••• A••• A•••• M••••••••• I•••left Aug 8, 2012, registered Aug 17, 2012 (9 days) · Other
- H••• B••••• C•••••• M••••••••• I••• to B••••••••• L••left Jan 12, 2010, registered Jan 4, 2010 (-8 days) · Other
- M••••• S•••••• • C•• L•• to H••• B••••• C•••••• M••••••••• I•••left Jun 17, 2008, registered Jun 18, 2008 (1 days) · Other
- M••••• S•••••• D• I••• to M••••• S•••••• • C•• L••left Apr 2, 2007, registered Apr 2, 2007 (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
- 42derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address