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••• N••••
- C•••••• A••••••• C••••••••• independent RIA currentsince Jul 9, 2015 · Indianapolis, In
- K••••• A•••••••• I••• BD affiliatedOct 24, 2011 to Jun 3, 2015 · Ft. Lauderdale, Fl
- L••••• A•••••••• L•• formerMar 18, 2011 to Oct 12, 2011 · Palm Beach Gardens, Fl
- M••••• S•••••• C••••••••• unclassifiedOct 8, 2007 to Oct 13, 2009 · Boston, Ma
- E•••••••• A•••••••• L•• national BDApr 6, 2004 to Jun 16, 2006 · Boca Raton, Fl
- K••••• A•••••••• I••• to C•••••• A••••••• C•••••••••left Jun 3, 2015, registered Jul 9, 2015 (36 days) · Other
- L••••• A•••••••• L•• to K••••• A•••••••• I•••left Oct 12, 2011, registered Oct 24, 2011 (12 days) · Other
- M••••• S•••••• C••••••••• to L••••• A•••••••• L••left Oct 13, 2009, registered Mar 18, 2011 (521 days) · Other
- E•••••••• A•••••••• L•• to M••••• S•••••• C•••••••••left Jun 16, 2006, registered Oct 8, 2007 (479 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
- Independent wealth managerderived
- Years in industry
- 30derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address