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.
B•••• M•••••• K•••
- N•••••• A••••••• BD affiliated currentsince Nov 5, 2021 · New Orleans, La
- M•• A••••••• F•••••••• M••••••••• I••• formerDec 5, 2007 to Nov 1, 2021 · Avon, Oh
- I•••••••• A••••••• I•• unclassifiedFeb 8, 2001 to Dec 14, 2005 · Cleveland, Oh
- M•• A••••••• F•••••••• M••••••••• I••• to N•••••• A•••••••left Nov 1, 2021, registered Nov 5, 2021 (4 days) · corporate re-registration, not a move
- I•••••••• A••••••• I•• to M•• A••••••• F•••••••• M••••••••• I•••left Dec 14, 2005, registered Dec 5, 2007 (721 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
- 31derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address