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•••••• R••••• W••••
- C••••••• P••••••• independent RIA currentsince Feb 2, 2017 · Overland Park, Ks
- P•• W••••• M••••••••• BD affiliatedDec 23, 2013 to Jan 11, 2017 · Pittsburgh, Pa
- O••••••••• • C•• I••• BD affiliatedNov 1, 2012 to Dec 4, 2013 · Atlanta, Ga
- T• A••••••••• I••••••••• M••••••••• L•• formerMay 5, 2006 to Oct 3, 2012 · Roswell, Ga
- T• A••••••••• I••• formerDec 16, 2004 to Oct 3, 2012 · Alpharetta, Ga
- C•••••• S••••• • C••• I••• national BDFeb 5, 2003 to Dec 8, 2004 · Fishers (Indianapolis), In
- P•• W••••• M••••••••• to C••••••• P•••••••left Jan 11, 2017, registered Feb 2, 2017 (22 days) · Other
- O••••••••• • C•• I••• to P•• W••••• M•••••••••left Dec 4, 2013, registered Dec 23, 2013 (19 days) · Other
- T• A••••••••• I••••••••• M••••••••• L•• to O••••••••• • C•• I•••left Oct 3, 2012, registered Nov 1, 2012 (29 days) · Other
- T• A••••••••• I••• to T• A••••••••• I••••••••• M••••••••• L••left Oct 3, 2012, registered May 5, 2006 (-2343 days) · channel change inside one enterprise, not a move
- C•••••• S••••• • C••• I••• to T• A••••••••• I•••left Dec 8, 2004, registered Dec 16, 2004 (8 days) · Affiliated broker-dealer or bank to a newly registered adviser
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