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•••• D••••• H••••
- A••••••••• F•••••••• S•••••••• L•• national BD currentsince Oct 12, 2018 · Louisville, Ky
- W•••• F•••• A••••••• wirehouseDec 2, 2016 to Nov 5, 2018 · New Albany, In
- B••• I••••••••• S•••••••• I••• formerMay 8, 2012 to Dec 12, 2016 · Charlotte, Nc
- S•••••• F•••••••• G•••• formerFeb 24, 2012 to Jun 13, 2012 · Chapel Hill, Nc
- P•• A••••••• G•••• unclassifiedApr 10, 2008 to Dec 21, 2009 · Findlay, Oh
- S••••••••• A•••••• A•••••••• I••• formerDec 27, 2001 to Apr 15, 2004 · New Albany, In
- A••••••••• F•••••••• S•••••••• L•• national BDDec 14, 1998 to Apr 6, 2004 · New Albany, In
- W•••• F•••• A••••••• to A••••••••• F•••••••• S•••••••• L••left Nov 5, 2018, registered Oct 12, 2018 (-24 days) · Wirehouse to affiliated broker-dealer or bank
- B••• I••••••••• S•••••••• I••• to W•••• F•••• A•••••••left Dec 12, 2016, registered Dec 2, 2016 (-10 days) · Other
- S•••••• F•••••••• G•••• to B••• I••••••••• S•••••••• I•••left Jun 13, 2012, registered May 8, 2012 (-36 days) · Other
- P•• A••••••• G•••• to S•••••• F•••••••• G••••left Dec 21, 2009, registered Feb 24, 2012 (795 days) · Other
- S••••••••• A•••••• A•••••••• I••• to P•• A••••••• G••••left Apr 15, 2004, registered Apr 10, 2008 (1456 days) · Other
- A••••••••• F•••••••• S•••••••• L•• to S••••••••• A•••••• A•••••••• I•••left Apr 6, 2004, registered Dec 27, 2001 (-831 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
- 27derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address