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.
S•••• T••••••• M••••
- B•• P•••••••• I••• BD affiliated currentsince Apr 26, 2019 · Cedar Rapids, Ia
- C•••• C•••••• S••••••••• L••• formerMar 16, 2010 to Apr 22, 2019 · San Diego, Ca
- S••••••••• A•••••• A•••••••• I••• formerJan 23, 2009 to Mar 18, 2010 · Lavista, Ne
- B••••• • Y•••• A•••••••• I••• formerOct 31, 2007 to Jan 23, 2009 · Folsom, Ca
- C•••• C•••••• S••••••••• L••• to B•• P•••••••• I•••left Apr 22, 2019, registered Apr 26, 2019 (4 days) · RIA to affiliated broker-dealer or bank
- S••••••••• A•••••• A•••••••• I••• to C•••• C•••••• S••••••••• L•••left Mar 18, 2010, registered Mar 16, 2010 (-2 days) · Other
- B••••• • Y•••• A•••••••• I••• to S••••••••• A•••••• A•••••••• I•••left Jan 23, 2009, registered Jan 23, 2009 (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
- 40derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address