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•••••• A•••••• E••••
- C•••••••• F••••••••• I••• BD affiliated currentsince Jan 2, 2019 · Brentwood, Ca
- P••••••••• B•••••••• S•••••••• I••• independent RIAMar 12, 2013 to Dec 31, 2018 · Green Bay, Wi
- P•••••••• S••••••••• I••• BD affiliatedJul 11, 2005 to Feb 12, 2013 · Antioch, Ca
- P••••••••• B•••••••• S•••••••• I••• to C•••••••• F••••••••• I•••left Dec 31, 2018, registered Jan 2, 2019 (2 days) · RIA to affiliated broker-dealer or bank
- P•••••••• S••••••••• I••• to P••••••••• B•••••••• S•••••••• I•••left Feb 12, 2013, registered Mar 12, 2013 (28 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
- 28derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address