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.
M•••••• F•••••• C•••••••
- C•••• I••• A••••••• state registered currentsince Aug 31, 2010 · Tucson, Az
- C•••••••• M•••••• F• unclassifiedSep 24, 2009 to Dec 31, 2009 · Tucson, Az
- R•••• A••••••• S•••••••• I••• independent RIAJan 6, 2009 to Aug 10, 2011 · Glenview, Il
- S•••••• I••••••••• G••••• L•• formerMar 13, 2006 to Dec 31, 2008 · Tucson, Az
- R•••• A••••••• S•••••••• I••• to C•••••••• M•••••• F•left Aug 10, 2011, registered Sep 24, 2009 (-685 days) · Other
- C•••••••• M•••••• F• to C•••• I••• A•••••••left Dec 31, 2009, registered Aug 31, 2010 (243 days) · Other
- S•••••• I••••••••• G••••• L•• to R•••• A••••••• S•••••••• I•••left Dec 31, 2008, registered Jan 6, 2009 (6 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
- STATE REGISTEREDderived
- Years in industry
- 38derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address