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.
C••••••••• B••••• N••••
- C••••••• P••••••• independent RIA currentsince Feb 24, 2012 · Overland Park, Ks
- S•••••••• A••••••• L•• national BDSep 22, 2003 to Feb 15, 2012 · Stamford, Ct
- Q•••• • R•••••• I••• unclassifiedDec 2, 2002 to Jun 25, 2003 · Baltimore, Md
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseJan 17, 1995 to Oct 24, 2002 · Baltimore, Md
- S•••••••• A••••••• L•• to C••••••• P•••••••left Feb 15, 2012, registered Feb 24, 2012 (9 days) · Other
- Q•••• • R•••••• I••• to S•••••••• A••••••• L••left Jun 25, 2003, registered Sep 22, 2003 (89 days) · Other
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to Q•••• • R•••••• I•••left Oct 24, 2002, registered Dec 2, 2002 (39 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