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••• S•••••••••
- O••••••••• • C•• I••• BD affiliated currentsince Oct 9, 2018 · Washington, Dc
- W•••• F•••• A••••••• wirehouseMar 1, 2007 to Oct 1, 2018 · Washington, Dc
- F•••••• B•••• W••••• L•• unclassifiedJan 28, 2005 to Feb 5, 2007 · Washington, Dc
- C•••••••• G••••• M•••••• I••• BD affiliatedJan 21, 1994 to Dec 15, 2004 · Washington, Dc
- W•••• F•••• A••••••• to O••••••••• • C•• I•••left Oct 1, 2018, registered Oct 9, 2018 (8 days) · Wirehouse to affiliated broker-dealer or bank
- F•••••• B•••• W••••• L•• to W•••• F•••• A•••••••left Feb 5, 2007, registered Mar 1, 2007 (24 days) · Other
- C•••••••• G••••• M•••••• I••• to F•••••• B•••• W••••• L••left Dec 15, 2004, registered Jan 28, 2005 (44 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
- 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