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••• A•••• T••••••
- C••• L•• BD affiliated currentsince Apr 24, 2018 · Ridgeland, Ms
- C• P••••••• C••• independent RIAJan 6, 2010 to May 10, 2018 · Portland, Or
- C• P••••••• C••• independent RIAMar 31, 2009 to Dec 23, 2009 · Portland, Or
- S••••••• G•••• C•••••• unclassifiedJun 8, 2006 to Mar 17, 2009 · Jackson, Ms
- E•• W••••• M••••••••• unclassifiedDec 6, 1995 to Jun 27, 2006 · Jackson, Ms
- C• P••••••• C••• to C••• L••left May 10, 2018, registered Apr 24, 2018 (-16 days) · RIA to RIA
- S••••••• G•••• C•••••• to C• P••••••• C•••left Mar 17, 2009, registered Mar 31, 2009 (14 days) · Other
- E•• W••••• M••••••••• to S••••••• G•••• C••••••left Jun 27, 2006, registered Jun 8, 2006 (-19 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
- 35derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address