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.
T••••• B•••• H••••••
- W•••• F•••• A••••••• wirehouse currentsince May 29, 2020 · Reno, Nv
- M••••• S•••••• wirehouseJan 7, 2014 to Jun 5, 2020 · Roseville, Ca
- R•• C•••••• M••••••• L•• national BDMay 28, 2002 to Feb 3, 2014 · Roseville, Ca
- M••••• S•••••• to W•••• F•••• A•••••••left Jun 5, 2020, registered May 29, 2020 (-7 days) · Wirehouse to wirehouse
- R•• C•••••• M••••••• L•• to M••••• S••••••left Feb 3, 2014, registered Jan 7, 2014 (-27 days) · Affiliated broker-dealer or bank to wirehouse
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
- Wirehousederived
- Years in industry
- 39derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address