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.
P••••••• A•• S••••••••
- W•••• F•••• A••••••• wirehouse currentsince Feb 1, 2019 · St. Louis, Mo
- W•••• F•••• A••••••• wirehouseJan 25, 2016 to Jan 30, 2019 · C••••••Ton, Wv
- L•• I••••••••• A••••••• formerJul 1, 2014 to Mar 23, 2017 · Hurricane, Wv
- W•••• F•••• A••••••• wirehouseAug 25, 2006 to Apr 28, 2014 · C••••••Ton, Wv
- L•• I••••••••• A••••••• formerMar 18, 2005 to Sep 22, 2006 · Hurricane, Wv
- C•••••• S••••• • C••• I••• national BDJun 8, 2004 to Sep 2, 2004 · C••••••Ton, Wv
- W•••• F•••• A••••••• to W•••• F•••• A•••••••left Jan 30, 2019, registered Feb 1, 2019 (2 days) · channel change inside one enterprise, not a move
- L•• I••••••••• A••••••• to W•••• F•••• A•••••••left Mar 23, 2017, registered Jan 25, 2016 (-423 days) · Other
- W•••• F•••• A••••••• to L•• I••••••••• A•••••••left Apr 28, 2014, registered Jul 1, 2014 (64 days) · Other
- L•• I••••••••• A••••••• to W•••• F•••• A•••••••left Sep 22, 2006, registered Aug 25, 2006 (-28 days) · Other
- C•••••• S••••• • C••• I••• to L•• I••••••••• A•••••••left Sep 2, 2004, registered Mar 18, 2005 (197 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
- Wirehousederived
- Years in industry
- 28derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address