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.
L••••• A• A•••••
- W•••• F•••• A••••••• wirehouse currentsince May 24, 2018 · Salt Lake City, Ut
- B••••••• I••••••••• S•••••••• I••• ••••• formerSep 17, 2014 to Jun 4, 2018 · Salt Lake City, Ut
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseJan 28, 2013 to Apr 2, 2014 · San Francisco, Ca
- M••••• S•••••• I••••••••• A••••••• I••• unclassifiedNov 17, 2005 to Feb 11, 2009 · New York, Ny
- B••••••• I••••••••• S•••••••• I••• ••••• to W•••• F•••• A•••••••left Jun 4, 2018, registered May 24, 2018 (-11 days) · Affiliated broker-dealer or bank to wirehouse
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to B••••••• I••••••••• S•••••••• I••• •••••left Apr 2, 2014, registered Sep 17, 2014 (168 days) · Other
- M••••• S•••••• I••••••••• A••••••• I••• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••left Feb 11, 2009, registered Jan 28, 2013 (1447 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
- 33derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address