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.
R•••••• C•••••• P•••••••
- N••••••• T•••• S••••••••• I•• BD affiliated currentsince Feb 19, 2015 · Boca Raton, Fl
- N••••••• T•••• S••••••••• I•• BD affiliatedMar 12, 2008 to Dec 31, 2009 · Boca Raton, Fl
- P•• W••••• M••••••••• BD affiliatedDec 2, 2004 to Feb 14, 2008 · Oakton, Va
- C••••••• A•••• M••••••••• I•• unclassifiedJan 15, 2004 to Sep 17, 2004 · Montgomery, Al
- B••• C•••••• I••••••••• S••••••••• I•• unclassifiedJun 12, 2002 to Aug 9, 2002 · Birmingham, Al
- P•• W••••• M••••••••• to N••••••• T•••• S••••••••• I••left Feb 14, 2008, registered Mar 12, 2008 (27 days) · Other
- C••••••• A•••• M••••••••• I•• to P•• W••••• M•••••••••left Sep 17, 2004, registered Dec 2, 2004 (76 days) · Other
- B••• C•••••• I••••••••• S••••••••• I•• to C••••••• A•••• M••••••••• I••left Aug 9, 2002, registered Jan 15, 2004 (524 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
- 39derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address