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.
R•• A••••••••
- C••••••• F•••••••• S•••••• C••••••••• former currentsince Jul 10, 2012 · Centennial, Co
- B••••••••• I••••••••• A••••••• S••••••• formerNov 23, 2009 to Jun 20, 2012 · East Brunswick, Nj
- G•••••••• F••••••••• I•• unclassifiedSep 9, 2008 to Oct 2, 2009 · Tampa, Fl
- B••••••••• I••••••••• A••••••• S••••••• to C••••••• F•••••••• S•••••• C•••••••••left Jun 20, 2012, registered Jul 10, 2012 (20 days) · Other
- G•••••••• F••••••••• I•• to B••••••••• I••••••••• A••••••• S•••••••left Oct 2, 2009, registered Nov 23, 2009 (52 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
- Former SEC-registered adviserderived
- Years in industry
- 30derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address