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.
M•••••• G••••• P••••
- P•••• P•••••••• S••••••••• L•• independent RIA currentsince Nov 4, 2011 · Naples, Fl
- A•••• • A••••••• G••••• P••••••• independent RIASep 21, 2010 to Aug 31, 2011 · Westport, Ct
- D•••• G••••• A••••••• unclassifiedJan 26, 2007 to Dec 31, 2009 · Huntington Beach, Ca
- A•••• • A••••••• G••••• P••••••• to P•••• P•••••••• S••••••••• L••left Aug 31, 2011, registered Nov 4, 2011 (65 days) · Other
- D•••• G••••• A••••••• to A•••• • A••••••• G••••• P•••••••left Dec 31, 2009, registered Sep 21, 2010 (264 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
- Independent wealth managerderived
- Years in industry
- 32derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address