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•••••••• L• M••••••
- C••••••••• F•••••••• N•••••• national BD currentsince Oct 19, 2015 · Waltham, Ma
- C••••••••• F•••••••• N•••••• national BDJan 31, 2011 to Oct 9, 2015 · Waltham, Ma
- U•••• F•••••••• S••••••• G••••• I••• unclassifiedJun 18, 2009 to May 21, 2010 · Wichita, Ks
- I••••••••• A••••••• C••• formerJul 16, 2008 to May 20, 2009 · Wichita, Ks
- U•••• F•••••••• S••••••• G••••• I••• to C••••••••• F•••••••• N••••••left May 21, 2010, registered Jan 31, 2011 (255 days) · Other
- I••••••••• A••••••• C••• to U•••• F•••••••• S••••••• G••••• I•••left May 20, 2009, registered Jun 18, 2009 (29 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
- National broker-dealer RIAderived
- Years in industry
- 20derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address