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.
S•••••• M•••••• B•••••
- W•••• F•••• A••••••• wirehouse currentsince Dec 14, 2015 · Alexandria, Va
- M••••••••• R•••• A••••••• S•••••••• L•• formerMay 23, 2011 to Jan 4, 2016 · Alexandria, Va
- C••••• • M•••••••• I••• formerJun 29, 2007 to May 23, 2011 · Simsbury, Ct
- C•••••••• G••••• M•••••• I••• BD affiliatedSep 29, 1995 to Jun 29, 2007 · Alexandria, Va
- M••••••••• R•••• A••••••• S•••••••• L•• to W•••• F•••• A•••••••left Jan 4, 2016, registered Dec 14, 2015 (-21 days) · Other
- C••••• • M•••••••• I••• to M••••••••• R•••• A••••••• S•••••••• L••left May 23, 2011, registered May 23, 2011 (0 days) · Other
- C•••••••• G••••• M•••••• I••• to C••••• • M•••••••• I•••left Jun 29, 2007, registered Jun 29, 2007 (0 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
- Wirehousederived
- Years in industry
- 32derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address