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.
W•••••• A••••• M•••••
- S••••• A••••••• I••• BD affiliated currentsince Jan 30, 2015 · Birmingham, Al
- S••••• A••• I••••••••• A•••••• S•••••••• I••• formerFeb 4, 2011 to Jan 30, 2015 · Windsor Locks, Ct
- O•••• F•• I••• formerSep 17, 2003 to Feb 18, 2011 · Laconia, Nh
- M••••• • A••••••••• unclassifiedAug 3, 1998 to Aug 29, 2003 · Gilford, Nh
- S••••• A••• I••••••••• A•••••• S•••••••• I••• to S••••• A••••••• I•••left Jan 30, 2015, registered Jan 30, 2015 (0 days) · corporate re-registration, not a move
- O•••• F•• I••• to S••••• A••• I••••••••• A•••••• S•••••••• I•••left Feb 18, 2011, registered Feb 4, 2011 (-14 days) · Other
- M••••• • A••••••••• to O•••• F•• I•••left Aug 29, 2003, registered Sep 17, 2003 (19 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
- 32derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address