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•••• A••• R•••••
- M•••••• A••••• S••••••••• L•• BD affiliated currentsince Aug 12, 2019 · Roanoke, Tx
- U•• F•••••••• S••••••••• L•• independent RIAAug 9, 2007 to Aug 8, 2019 · Ada, Mi
- U•• F•••••••• S••••••••• L•• to M•••••• A••••• S••••••••• L••left Aug 8, 2019, registered Aug 12, 2019 (4 days) · RIA to RIA
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
- 40derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address