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••••• S•••••• wirehouse currentsince Feb 22, 2022 · Reno, Nv
- W•••• F•••• A••••••• wirehouseMar 14, 2012 to Feb 24, 2022 · Reno, Nv
- M••••• S•••••• wirehouseJun 1, 2009 to Mar 21, 2012 · Reno, Nv
- C•••••••• G••••• M•••••• I••• BD affiliatedAug 30, 2004 to Jun 1, 2009 · Reno, Nv
- C•••••• S••••• • C••• I••• national BDJan 3, 2000 to Jan 17, 2003 · San Francisco, Ca
- W•••• F•••• A••••••• to M••••• S••••••left Feb 24, 2022, registered Feb 22, 2022 (-2 days) · Wirehouse to wirehouse · moved with a team
- M••••• S•••••• to W•••• F•••• A•••••••left Mar 21, 2012, registered Mar 14, 2012 (-7 days) · Wirehouse to wirehouse
- C•••••••• G••••• M•••••• I••• to M••••• S••••••left Jun 1, 2009, registered Jun 1, 2009 (0 days) · corporate re-registration, not a move
- C•••••• S••••• • C••• I••• to C•••••••• G••••• M•••••• I•••left Jan 17, 2003, registered Aug 30, 2004 (591 days) · Other
- S••••• A• N••••• left W•••• F•••• A••••••• for M••••• S•••••• (registered 2022-02-22)Feb 24, 2022 · Advisor changed firm · fact
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
- 34derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address