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••••• C••••••• R••••••
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouse currentsince Nov 8, 2016 · Plano, Tx
- C•••••• O•• A•••••••• L•• formerJan 28, 2015 to Sep 27, 2016 · Seattle, Wa
- C•••••• O•• F•••••••• A••••••• L•• unclassifiedNov 21, 2011 to Jan 28, 2015 · Melville, Ny
- B••• C•••••• I••••••••• S••••••••• I•• unclassifiedMar 16, 2005 to Mar 12, 2010 · Carrollton, Tx
- C•••••• O•• A•••••••• L•• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••left Sep 27, 2016, registered Nov 8, 2016 (42 days) · Other
- C•••••• O•• F•••••••• A••••••• L•• to C•••••• O•• A•••••••• L••left Jan 28, 2015, registered Jan 28, 2015 (0 days) · corporate re-registration, not a move
- B••• C•••••• I••••••••• S••••••••• I•• to C•••••• O•• F•••••••• A••••••• L••left Mar 12, 2010, registered Nov 21, 2011 (619 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
- 32derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address