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•••• D•••••• C•••
- V••••••• A•••••••• I••• BD affiliated currentsince Jul 17, 2019 · Charlotte, Nc
- S•••••••• A••••••• L•• national BDDec 5, 2013 to Jul 7, 2018 · Greenwood Village, Co
- U••• F•••••••• P••••••• S••••••• formerMar 11, 2011 to Jun 13, 2013 · Tampa, Fl
- A••••• A•• P••••••• S••••••• BD affiliatedOct 13, 2009 to Jan 31, 2011 · Denver, Co
- S•••••••• A••••••• L•• to V••••••• A•••••••• I•••left Jul 7, 2018, registered Jul 17, 2019 (375 days) · Affiliated broker-dealer or bank to another
- U••• F•••••••• P••••••• S••••••• to S•••••••• A••••••• L••left Jun 13, 2013, registered Dec 5, 2013 (175 days) · Other
- A••••• A•• P••••••• S••••••• to U••• F•••••••• P••••••• S•••••••left Jan 31, 2011, registered Mar 11, 2011 (39 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
- 25derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address