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.
D•••• R••••• N•••••
- S••••••••• C•••••• M••••••••• mixed wealth currentsince Apr 28, 2014 · W•••Lake Village, Ca
- G••••••••• C•••••• M••••••••• L•• state registeredJan 26, 2011 to Jun 3, 2014 · Wheaton, Il
- G••••••••• C•••••• M••••••••• L•• state registeredAug 24, 2010 to Dec 31, 2010
- W••• C•••• A•••• M••••••••• formerJun 4, 2007 to Apr 16, 2010 · Montecito, Ca
- B••• O• A•••••• I••••••••• S•••••••• I••• unclassifiedAug 1, 2005 to Apr 30, 2007 · W•••Lake Village, Ca
- B••• A•••••••• L•• formerFeb 11, 2005 to Aug 1, 2005 · Boston, Ma
- B•••• D••••••••• L•• unclassifiedJan 1, 2003 to Feb 11, 2005 · Charlotte, Nc
- S••••••• BD affiliatedDec 31, 2000 to Jan 1, 2003 · Charlotte, Nc
- G••••••••• C•••••• M••••••••• L•• to S••••••••• C•••••• M•••••••••left Jun 3, 2014, registered Apr 28, 2014 (-36 days) · Other
- W••• C•••• A•••• M••••••••• to G••••••••• C•••••• M••••••••• L••left Apr 16, 2010, registered Aug 24, 2010 (130 days) · Other
- B••• O• A•••••• I••••••••• S•••••••• I••• to W••• C•••• A•••• M•••••••••left Apr 30, 2007, registered Jun 4, 2007 (35 days) · Other
- B••• A•••••••• L•• to B••• O• A•••••• I••••••••• S•••••••• I•••left Aug 1, 2005, registered Aug 1, 2005 (0 days) · Other
- B•••• D••••••••• L•• to B••• A•••••••• L••left Feb 11, 2005, registered Feb 11, 2005 (0 days) · Other
- S••••••• to B•••• D••••••••• L••left Jan 1, 2003, registered Jan 1, 2003 (0 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
- Wealth manager with institutional or fund businessderived
- Years in industry
- 37derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address