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.
R••••• R•••• M••••••
- I•••••••• A•••••••• L•• BD affiliated currentsince Oct 5, 2022 · Gasburg, Va
- M•••••• A••••• S••••••••• L•• BD affiliatedMar 25, 2009 to Dec 31, 2016 · San Diego, Ca
- M•••••• A••••• A•••••••• I••• unclassifiedJun 9, 2006 to Mar 25, 2009 · Butler, Pa
- Q•••••• A•••• M••••••••• I••• formerAug 8, 2005 to Jun 12, 2006 · Butler, Pa
- T•• M••••••• I••• unclassifiedFeb 18, 2000 to Oct 18, 2002 · Overland Pk, Ks
- M•••••• A••••• S••••••••• L•• to I•••••••• A•••••••• L••left Dec 31, 2016, registered Oct 5, 2022 (2104 days) · Other
- M•••••• A••••• A•••••••• I••• to M•••••• A••••• S••••••••• L••left Mar 25, 2009, registered Mar 25, 2009 (0 days) · corporate re-registration, not a move
- Q•••••• A•••• M••••••••• I••• to M•••••• A••••• A•••••••• I•••left Jun 12, 2006, registered Jun 9, 2006 (-3 days) · Other
- T•• M••••••• I••• to Q•••••• A•••• M••••••••• I•••left Oct 18, 2002, registered Aug 8, 2005 (1025 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
- 34derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address