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.
E••• S•••• C••••••
- A••••••••• F•••••••• S•••••••• L•• national BD currentsince Jun 22, 2018 · Destin, Fl
- I••••••••• P••••••••• I••• formerDec 9, 2009 to Sep 24, 2018 · San Antonio, Tx
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseAug 12, 2003 to Oct 29, 2009 · Fort Walton Beach, Fl
- B••• O•• S••••••••• C••••••••• unclassifiedMar 19, 2002 to Jul 30, 2003 · Dayton, Oh
- I••••••••• P••••••••• I••• to A••••••••• F•••••••• S•••••••• L••left Sep 24, 2018, registered Jun 22, 2018 (-94 days) · corporate re-registration, not a move
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to I••••••••• P••••••••• I•••left Oct 29, 2009, registered Dec 9, 2009 (41 days) · Other
- B••• O•• S••••••••• C••••••••• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••left Jul 30, 2003, registered Aug 12, 2003 (13 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
- 31derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address