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.
G••••• B• B•••
- A••••••••• F•••••••• S•••••••• L•• national BD currentsince Dec 16, 2015 · Alexandria, Va
- N••• F•••••••• G••••• I••• formerJul 7, 2009 to Dec 18, 2015 · Houston, Tx
- S•••••••• F••••••••• I••• formerApr 23, 2008 to Apr 28, 2008 · Mclean, Va
- H••••••••• G••••• E••••• • R••••••••• S••••••••• unclassifiedAug 2, 2004 to Oct 6, 2009 · Bethesda, Md
- Q•••• • R•••••• I••• unclassifiedJan 27, 2004 to May 26, 2004 · Mclean, Va
- C•••••••• G••••• M•••••• I••• BD affiliatedSep 1, 1999 to Feb 5, 2004 · Washington, Dc
- N••• F•••••••• G••••• I••• to A••••••••• F•••••••• S•••••••• L••left Dec 18, 2015, registered Dec 16, 2015 (-2 days) · Other
- H••••••••• G••••• E••••• • R••••••••• S••••••••• to S•••••••• F••••••••• I•••left Oct 6, 2009, registered Apr 23, 2008 (-531 days) · Other
- S•••••••• F••••••••• I••• to N••• F•••••••• G••••• I•••left Apr 28, 2008, registered Jul 7, 2009 (435 days) · Other
- Q•••• • R•••••• I••• to H••••••••• G••••• E••••• • R••••••••• S•••••••••left May 26, 2004, registered Aug 2, 2004 (68 days) · Other
- C•••••••• G••••• M•••••• I••• to Q•••• • R•••••• I•••left Feb 5, 2004, registered Jan 27, 2004 (-9 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
- National broker-dealer RIAderived
- Years in industry
- 32derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address