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.
A••••• D••••• I••••
- R•••••• J•••• F•••••••• S••••••• A•••••••• I•• BD affiliated currentsince Apr 11, 2018 · Albuquerque, Nm
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseJun 16, 2008 to Mar 27, 2018 · Albuquerque, Nm
- U•• F•••••••• S••••••• I••• wirehouseMar 4, 2008 to Jun 20, 2008 · Albuquerque, Nm
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to R•••••• J•••• F•••••••• S••••••• A•••••••• I••left Mar 27, 2018, registered Apr 11, 2018 (15 days) · Wirehouse to affiliated broker-dealer or bank
- U•• F•••••••• S••••••• I••• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••left Jun 20, 2008, registered Jun 16, 2008 (-4 days) · Wirehouse to wirehouse
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
- 18derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address