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.
L••• K•••••• B••••
- H•••••• I••••••••• I••• independent RIA currentsince Nov 14, 2014 · Neenah, Wi
- N••• F•••••••• G••••• I••• formerSep 15, 2006 to Nov 25, 2014 · Houston, Tx
- I•••••••• C•••••• A••••••• formerJan 10, 2005 to Sep 28, 2006 · L•••Field, Ma
- E•••••• P•••• A••••••• I••• unclassifiedAug 8, 2002 to Dec 31, 2004 · Neenah, Wi
- N••• F•••••••• G••••• I••• to H•••••• I••••••••• I•••left Nov 25, 2014, registered Nov 14, 2014 (-11 days) · Other
- I•••••••• C•••••• A••••••• to N••• F•••••••• G••••• I•••left Sep 28, 2006, registered Sep 15, 2006 (-13 days) · Other
- E•••••• P•••• A••••••• I••• to I•••••••• C•••••• A•••••••left Dec 31, 2004, registered Jan 10, 2005 (10 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