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•••• H••••• M•••••••
- M••••••• C••••• W••••• S•••••••• I••• independent RIA currentsince Sep 13, 2005 · Wheeling, Wv
- W•••• F•••• A••••••• wirehouseNov 5, 2003 to Sep 29, 2005 · Wheeling, Wv
- W•••• F•••• A••••••• wirehouseJul 1, 2003 to Oct 30, 2003 · Wheeling, Wv
- P••••••••• E••••• G••••• L•• unclassifiedMay 2, 2002 to Jul 1, 2003 · Wheeling, Wv
- W•••• F•••• A••••••• to M••••••• C••••• W••••• S•••••••• I•••left Sep 29, 2005, registered Sep 13, 2005 (-16 days) · Other
- W•••• F•••• A••••••• to W•••• F•••• A•••••••left Oct 30, 2003, registered Nov 5, 2003 (6 days) · channel change inside one enterprise, not a move
- P••••••••• E••••• G••••• L•• to W•••• F•••• A•••••••left Jul 1, 2003, registered Jul 1, 2003 (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