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.
J•••••• C•••••
- W•••• F•••• A••••••• wirehouse currentsince Aug 2, 2018 · Richmond, Va
- U••• B•••••• I••••••••• I••• formerFeb 22, 2011 to Mar 9, 2018 · Davenport, Ia
- W•••• F•••• A••••••• wirehouseJan 3, 2011 to Feb 28, 2011 · Galesburg, Il
- W•••• F•••• I••••••••• L•• unclassifiedOct 17, 2007 to Jan 3, 2011 · Monmouth, Il
- M••• S•••••• A••••••• S•••••••• L•• formerSep 20, 2005 to Sep 11, 2008 · Galesburg, Il
- H• B•••• I••• formerJan 3, 2003 to Dec 31, 2005 · Galesburg, Il
- F•• A••••••• S••••••• I•• unclassifiedSep 4, 1998 to Dec 31, 2002 · Galesburg, Il
- U••• B•••••• I••••••••• I••• to W•••• F•••• A•••••••left Mar 9, 2018, registered Aug 2, 2018 (146 days) · Other
- W•••• F•••• A••••••• to U••• B•••••• I••••••••• I•••left Feb 28, 2011, registered Feb 22, 2011 (-6 days) · Other
- W•••• F•••• I••••••••• L•• to W•••• F•••• A•••••••left Jan 3, 2011, registered Jan 3, 2011 (0 days) · corporate re-registration, not a move
- M••• S•••••• A••••••• S•••••••• L•• to W•••• F•••• I••••••••• L••left Sep 11, 2008, registered Oct 17, 2007 (-330 days) · Other
- H• B•••• I••• to M••• S•••••• A••••••• S•••••••• L••left Dec 31, 2005, registered Sep 20, 2005 (-102 days) · Other
- F•• A••••••• S••••••• I•• to H• B•••• I•••left Dec 31, 2002, registered Jan 3, 2003 (3 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
- Wirehousederived
- Years in industry
- 35derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address