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.
A•••• D•••• A••••
- A••••••••• F•••••••• S•••••••• L•• national BD currentsince Jun 22, 2018 · Parker, Co
- I••••••••• P••••••••• I••• formerJan 31, 2014 to Sep 24, 2018 · San Antonio, Tx
- V•••• F•••••••• A•••••••• I••• BD affiliatedJul 13, 2011 to Feb 27, 2014 · Lakewood, Co
- P•• W••••• M••••••••• BD affiliatedFeb 19, 2007 to Jul 15, 2009 · Plymouth Meeting, Pa
- I••••••••• P••••••••• I••• to A••••••••• F•••••••• S•••••••• L••left Sep 24, 2018, registered Jun 22, 2018 (-94 days) · corporate re-registration, not a move
- V•••• F•••••••• A•••••••• I••• to I••••••••• P••••••••• I•••left Feb 27, 2014, registered Jan 31, 2014 (-27 days) · Other
- P•• W••••• M••••••••• to V•••• F•••••••• A•••••••• I•••left Jul 15, 2009, registered Jul 13, 2011 (728 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