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.
S•••••• T• S••••
- N••••••••• M••••• I••••••••• S••••••••• no RAUM currentsince Sep 30, 2020 · New York, Ny
- O•••• P•••••••• S••••••••• L•• formerJan 23, 2020 to Jan 27, 2020 · Omaha, Ne
- O•••• P•••••••• S••••••••• L•• formerJul 11, 2019 to Dec 31, 2019 · Tampa, Fl
- S••••••• I••••••••• I••• formerMay 13, 2016 to Nov 27, 2017 · St. Petersburg, Fl
- T••••••••• F•••••••• A•••••••• L•• BD affiliatedSep 4, 2009 to May 13, 2016 · Philadelphia, Pa
- T••••••••• F•••••••• A•••••••• I••• unclassifiedJul 19, 2006 to Sep 4, 2009 · Los Angeles, Ca
- Z•••• I••••••••• M••••••••• I••• mixed wealthApr 21, 2006 to Jun 16, 2006 · Chicago, Il
- C•••••• S••••• • C••• I••• national BDJan 25, 1999 to Jan 11, 2006 · Pasadena, Ca
- O•••• P•••••••• S••••••••• L•• to N••••••••• M••••• I••••••••• S•••••••••left Jan 27, 2020, registered Sep 30, 2020 (247 days) · Other
- S••••••• I••••••••• I••• to O•••• P•••••••• S••••••••• L••left Nov 27, 2017, registered Jul 11, 2019 (591 days) · Other
- T••••••••• F•••••••• A•••••••• L•• to S••••••• I••••••••• I•••left May 13, 2016, registered May 13, 2016 (0 days) · corporate re-registration, not a move
- T••••••••• F•••••••• A•••••••• I••• to T••••••••• F•••••••• A•••••••• L••left Sep 4, 2009, registered Sep 4, 2009 (0 days) · corporate re-registration, not a move
- Z•••• I••••••••• M••••••••• I••• to T••••••••• F•••••••• A•••••••• I•••left Jun 16, 2006, registered Jul 19, 2006 (33 days) · Other
- C•••••• S••••• • C••• I••• to Z•••• I••••••••• M••••••••• I•••left Jan 11, 2006, registered Apr 21, 2006 (100 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
- No RAUM reportedderived
- Years in industry
- 32derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address