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.
G••••• F•••• M•••••••
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouse currentsince May 5, 2016 · Wilmington, De
- W•••• F•••• A••••••• wirehouseFeb 11, 2013 to Jun 1, 2016 · Middletown, De
- B••• I••••••••• S•••••••• I••• formerAug 16, 2011 to Jan 18, 2013 · Charlotte, Nc
- T••••••• I••••••••• M••••••••• I••• BD affiliatedJan 13, 2010 to Aug 18, 2011 · Sterling, Va
- A••••• A•• P••••••• S••••••• BD affiliatedMar 1, 2007 to Nov 9, 2009 · Philadelphia, Pa
- W•••• F•••• A••••••• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••left Jun 1, 2016, registered May 5, 2016 (-27 days) · Wirehouse to wirehouse
- B••• I••••••••• S•••••••• I••• to W•••• F•••• A•••••••left Jan 18, 2013, registered Feb 11, 2013 (24 days) · Other
- T••••••• I••••••••• M••••••••• I••• to B••• I••••••••• S•••••••• I•••left Aug 18, 2011, registered Aug 16, 2011 (-2 days) · Other
- A••••• A•• P••••••• S••••••• to T••••••• I••••••••• M••••••••• I•••left Nov 9, 2009, registered Jan 13, 2010 (65 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