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.
P•••• E••••• B•••••
- C••••••• P••••••• independent RIA currentsince Sep 20, 2011 · Overland Park, Ks
- A••••••• C•••••• W••••• M••••••• L•• unclassifiedMar 25, 2010 to Dec 31, 2011 · Naples, Fl
- F•• W••••• M••••••••• L•• unclassifiedMay 15, 2009 to Mar 18, 2010 · Naples, Fl
- C•••••••• G••••• M•••••• I••• BD affiliatedDec 10, 2002 to May 12, 2009 · Naples, Fl
- S•••••••• A••••••• L•• national BDSep 10, 2001 to Nov 12, 2002 · Naples, Fl
- A••••••• C•••••• W••••• M••••••• L•• to C••••••• P•••••••left Dec 31, 2011, registered Sep 20, 2011 (-102 days) · Other
- F•• W••••• M••••••••• L•• to A••••••• C•••••• W••••• M••••••• L••left Mar 18, 2010, registered Mar 25, 2010 (7 days) · Other
- C•••••••• G••••• M•••••• I••• to F•• W••••• M••••••••• L••left May 12, 2009, registered May 15, 2009 (3 days) · Other
- S•••••••• A••••••• L•• to C•••••••• G••••• M•••••• I•••left Nov 12, 2002, registered Dec 10, 2002 (28 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
- Independent wealth managerderived
- Years in industry
- 33derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address