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••••• D••••• I•• B•••••••
- J• W• C••• A•••••••• I••• BD affiliated currentsince Jan 5, 2009 · Tampa, Fl
- C••••• I••••••••• S••••••• L•• formerNov 14, 2003 to Dec 22, 2008 · Huntsville, Al
- C••••• A•••••• N••••••• L•• formerJan 1, 1999 to Nov 28, 2003 · Huntsville, Al
- C••••• I••••••••• S••••••• L•• to J• W• C••• A•••••••• I•••left Dec 22, 2008, registered Jan 5, 2009 (14 days) · Other
- C••••• A•••••• N••••••• L•• to C••••• I••••••••• S••••••• L••left Nov 28, 2003, registered Nov 14, 2003 (-14 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
- Broker-dealer affiliated wealth managerderived
- Years in industry
- 36derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address