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•••••• E•••••• A•••••
- A••••• A•• P••••••• S••••••• BD affiliated currentsince Mar 28, 2018 · Glendale, Co
- M•• F•••••••• S•••••••• I••• formerMar 15, 2011 to Jun 10, 2015 · Santa Fe, Nm
- C••• B•••••••• S•••••••• I••• formerFeb 8, 2007 to Aug 14, 2007 · Waverly, Ia
- M•• F•••••••• S•••••••• I••• to A••••• A•• P••••••• S•••••••left Jun 10, 2015, registered Mar 28, 2018 (1022 days) · Other
- C••• B•••••••• S•••••••• I••• to M•• F•••••••• S•••••••• I•••left Aug 14, 2007, registered Mar 15, 2011 (1309 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
- 40derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address