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.
S•••• M••• S•••••••
- R•• C•••••• M••••••• L•• national BD currentsince Aug 29, 2013 · Billings, Mt
- D••• D••••••• • C•• independent RIAJul 14, 2004 to Aug 30, 2013 · Billings, Mt
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseMar 21, 1995 to Jul 15, 2004 · Billings, Mt
- D••• D••••••• • C•• to R•• C•••••• M••••••• L••left Aug 30, 2013, registered Aug 29, 2013 (-1 days) · Other
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to D••• D••••••• • C••left Jul 15, 2004, registered Jul 14, 2004 (-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
- National broker-dealer RIAderived
- Years in industry
- 38derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address