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•••• F•••••••• independent RIA currentsince Aug 22, 2007 · Phoenix, Az
- O•••••• C•••••• A•••••••• L•• independent RIAOct 29, 2010 to Sep 10, 2012 · Traverse City, Mi
- W••••• W••••• M••••••••• L•• formerJan 6, 2009 to Jun 27, 2012 · Hopewell, Nj
- U•• A•••••••• L•• unclassifiedJan 11, 2008 to Jan 31, 2008 · Houston, Tx
- U•• A•••••••• L•• unclassifiedNov 3, 2006 to Dec 31, 2007 · Houston, Tx
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseFeb 6, 2001 to Nov 8, 2006 · Scottsdale, Az
- O•••••• C•••••• A•••••••• L•• to no registered destinationleft Sep 10, 2012 · Departure, no registered destination
- W••••• W••••• M••••••••• L•• to O•••••• C•••••• A•••••••• L••left Jun 27, 2012, registered Oct 29, 2010 (-607 days) · Other
- U•• A•••••••• L•• to W••••• W••••• M••••••••• L••left Jan 31, 2008, registered Jan 6, 2009 (341 days) · Other
- U•• A•••••••• L•• to A•••• F••••••••left Dec 31, 2007, registered Aug 22, 2007 (-131 days) · Other
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to U•• A•••••••• L••left Nov 8, 2006, registered Nov 3, 2006 (-5 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
- Independent wealth managerderived
- Years in industry
- 38derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address