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•••• E••••• C•••••••
- C••••••• M••••• L•• asset manager currentsince Jun 30, 2017 · New Castle, Pa
- C••••• I••••••••• M••••••••• L•• no RAUMJun 9, 2015 to Jul 7, 2017 · Scottsdale, Az
- F•••• A••••• A•••• M••••••••• I••• formerJan 1, 2007 to Nov 2, 2015 · Scottsdale, Az
- F•••• A••••• A•••• M••••••••• I••• formerOct 2, 2006 to Dec 31, 2006 · Scottsdale, Az
- F•••• A••••• A••••••• S•••••••• I••• formerAug 14, 2006 to Dec 7, 2006 · Scottsdale, Az
- P••••••• I••••••••• A•••••••• L•• unclassifiedJan 11, 2005 to Feb 25, 2005 · Scottsdale, Az
- G•••••••• I••••••••• M••••••••• I••• unclassifiedOct 4, 2004 to Oct 24, 2008 · Scottsdale, Az
- C••••• I••••••••• M••••••••• L•• to C••••••• M••••• L••left Jul 7, 2017, registered Jun 30, 2017 (-7 days) · Other · moved with a team
- F•••• A••••• A•••• M••••••••• I••• to C••••• I••••••••• M••••••••• L••left Nov 2, 2015, registered Jun 9, 2015 (-146 days) · Other · moved with a team
- G•••••••• I••••••••• M••••••••• I••• to P••••••• I••••••••• A•••••••• L••left Oct 24, 2008, registered Jan 11, 2005 (-1382 days) · Other
- F•••• A••••• A••••••• S•••••••• I••• to F•••• A••••• A•••• M••••••••• I•••left Dec 7, 2006, registered Oct 2, 2006 (-66 days) · Other
- P••••••• I••••••••• A•••••••• L•• to F•••• A••••• A••••••• S•••••••• I•••left Feb 25, 2005, registered Aug 14, 2006 (535 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
- Asset manager (funds and pooled vehicles)derived
- Years in industry
- 32derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address