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.
S••• M•••••• S•••
- C•••••••• I••••••••• R••••••• A•••••••• I••• BD affiliated currentsince Apr 23, 2021 · Jacksonville, Fl
- O•••• F•• I••• formerAug 29, 2005 to May 4, 2021 · Greensboro, Nc
- P•••• S••••••••• L•• no RAUMSep 8, 2000 to Nov 11, 2004 · Houston, Tx
- O•••• F•• I••• to C•••••••• I••••••••• R••••••• A•••••••• I•••left May 4, 2021, registered Apr 23, 2021 (-11 days) · Affiliated broker-dealer or bank to another
- P•••• S••••••••• L•• to O•••• F•• I•••left Nov 11, 2004, registered Aug 29, 2005 (291 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
- 30derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address