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•••• S•• R•••••••
- A••••••••• F•••••••• S•••••••• L•• national BD currentsince Sep 4, 2012 · Clearwater, Fl
- B••• A•••••••• L•• formerMay 11, 2005 to May 8, 2007 · Boston, Ma
- C••••••• M••••••••• A•••••••• I••• unclassifiedApr 16, 2003 to May 9, 2005 · Boston, Ma
- U•• F•••••••• S••••••• I••• wirehouseSep 19, 1999 to Apr 30, 2003 · Austin, Tx
- B••• A•••••••• L•• to A••••••••• F•••••••• S•••••••• L••left May 8, 2007, registered Sep 4, 2012 (1946 days) · Other
- C••••••• M••••••••• A•••••••• I••• to B••• A•••••••• L••left May 9, 2005, registered May 11, 2005 (2 days) · Other
- U•• F•••••••• S••••••• I••• to C••••••• M••••••••• A•••••••• I•••left Apr 30, 2003, registered Apr 16, 2003 (-14 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
- National broker-dealer RIAderived
- Years in industry
- 35derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address