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.
B•••••• S•••• F•••
- M•••••• A••••• S••••••••• L•• BD affiliated currentsince Oct 13, 2019 · San Diego, Ca
- U•• F•••••••• S••••••••• L•• independent RIAJan 3, 2006 to Sep 26, 2019 · Ada, Mi
- I•••••••• C•••••• A••••••• formerMar 14, 2005 to Dec 31, 2005 · Evansville, In
- E•••••• P•••• A••••••• I••• unclassifiedApr 8, 2004 to Jun 16, 2005
- T••••••••• F•••••••• A•••••••• L•• BD affiliatedMay 17, 2000 to Apr 8, 2004 · Evansville, In
- U•• F•••••••• S••••••••• L•• to M•••••• A••••• S••••••••• L••left Sep 26, 2019, registered Oct 13, 2019 (17 days) · RIA to RIA · moved with a team
- I•••••••• C•••••• A••••••• to U•• F•••••••• S••••••••• L••left Dec 31, 2005, registered Jan 3, 2006 (3 days) · Other
- E•••••• P•••• A••••••• I••• to I•••••••• C•••••• A•••••••left Jun 16, 2005, registered Mar 14, 2005 (-94 days) · Other
- T••••••••• F•••••••• A•••••••• L•• to E•••••• P•••• A••••••• I•••left Apr 8, 2004, registered Apr 8, 2004 (0 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