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.
F•••••••• G••••• F•••
- D•••••••• • C•••••• L•• BD affiliated currentsince Mar 15, 2021 · Richmond, Va
- C••••• A•••••• N••••••• L•• formerFeb 24, 2021 to Mar 19, 2021 · Boca Raton, Fl
- V•• A••••••• S••••••• formerDec 23, 2015 to Nov 9, 2016 · Overland Park, Ks
- C••••• I••••••••• A••••••• L•• BD affiliatedOct 6, 2015 to Mar 19, 2021 · Boca Raton, Fl
- S••••• F•••••••• G•••• I•• formerMay 10, 2010 to Mar 19, 2021 · Boca Raton, Fl
- S••••••• G•••• C•••••• unclassifiedJun 7, 2006 to Feb 4, 2010 · Houston, Tx
- N••••••• P••••••• C••••••••• •••• O• A••••••• I• F• • N•• formerJan 7, 2003 to Jun 6, 2006 · El Segundo, Ca
- C••••• I••••••••• A••••••• L•• to V•• A••••••• S•••••••left Mar 19, 2021, registered Dec 23, 2015 (-1913 days) · Other
- S••••• F•••••••• G•••• I•• to C••••• I••••••••• A••••••• L••left Mar 19, 2021, registered Oct 6, 2015 (-1991 days) · Other
- C••••• A•••••• N••••••• L•• to D•••••••• • C•••••• L••left Mar 19, 2021, registered Mar 15, 2021 (-4 days) · Affiliated broker-dealer or bank to another
- V•• A••••••• S••••••• to C••••• A•••••• N••••••• L••left Nov 9, 2016, registered Feb 24, 2021 (1568 days) · channel change inside one enterprise, not a move
- S••••••• G•••• C•••••• to S••••• F•••••••• G•••• I••left Feb 4, 2010, registered May 10, 2010 (95 days) · Other
- N••••••• P••••••• C••••••••• •••• O• A••••••• I• F• • N•• to S••••••• G•••• C••••••left Jun 6, 2006, registered Jun 7, 2006 (1 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