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.
D•••• A••••• M•••••
- C•••••• A••••••• S•••••••• I•• independent RIA currentsince Dec 8, 2018 · Staten Island, Ny
- L•• F•••••••• L•• BD affiliatedNov 3, 2011 to Nov 6, 2018 · Fletcher, Nc
- W•••• F•••• A••••••• wirehouseJan 1, 2008 to Nov 7, 2011 · Asheville, Nc
- A• G• E•••••• • S•••• I••• unclassifiedApr 7, 2006 to Jan 1, 2008 · St. Louis, Mo
- L•• F•••••••• L•• to C•••••• A••••••• S•••••••• I••left Nov 6, 2018, registered Dec 8, 2018 (32 days) · RIA to RIA
- W•••• F•••• A••••••• to L•• F•••••••• L••left Nov 7, 2011, registered Nov 3, 2011 (-4 days) · Other
- A• G• E•••••• • S•••• I••• to W•••• F•••• A•••••••left Jan 1, 2008, registered Jan 1, 2008 (0 days) · corporate re-registration, not a move
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
- Independent wealth managerderived
- Years in industry
- 32derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address