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•••••• C•••• C•••••••
- W•••• E••••• G••••• I••• BD affiliated currentsince Jul 1, 2014 · Schaumburg, Il
- P•••••••• D••••••••• I••••••••• S••••••• C•••• formerAug 31, 2011 to Jul 20, 2012 · Fayetteville, Nc
- B••••• I••••••••• A••••••• L•• unclassifiedNov 20, 2008 to Nov 5, 2010 · Chicago, Il
- R•••••• J•••• • A••••••••• I••• national BDJan 7, 2005 to Aug 14, 2008 · Fayetteville, Nc
- U•• F•••••••• S••••••• I••• wirehouseJun 20, 2001 to Dec 17, 2004 · Fayetteville, Nc
- P•••••••• D••••••••• I••••••••• S••••••• C•••• to W•••• E••••• G••••• I•••left Jul 20, 2012, registered Jul 1, 2014 (711 days) · Other
- B••••• I••••••••• A••••••• L•• to P•••••••• D••••••••• I••••••••• S••••••• C••••left Nov 5, 2010, registered Aug 31, 2011 (299 days) · Other
- R•••••• J•••• • A••••••••• I••• to B••••• I••••••••• A••••••• L••left Aug 14, 2008, registered Nov 20, 2008 (98 days) · Other
- U•• F•••••••• S••••••• I••• to R•••••• J•••• • A••••••••• I•••left Dec 17, 2004, registered Jan 7, 2005 (21 days) · Wirehouse to affiliated broker-dealer or bank
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
- 35derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address