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.
T••••••• B•••••• W••••
- E•••••• A••••••• G••••• L•• BD affiliated currentsince Jul 23, 2018 · Thompsons Station, Tn
- M•••• C••••••• A••••••• S•••••• BD affiliatedDec 4, 2017 to Jun 22, 2018 · Palm Beach Gardens, Fl
- P••• A••••• S••••••••• L•• BD affiliatedNov 8, 2017 to Jan 16, 2018 · Brentwood, Tn
- P•••• S••••••••• L•• no RAUMAug 17, 2012 to Dec 12, 2016 · Champaign, Il
- M•••• C••••••• A••••••• S•••••• to E•••••• A••••••• G••••• L••left Jun 22, 2018, registered Jul 23, 2018 (31 days) · Other
- P••• A••••• S••••••••• L•• to M•••• C••••••• A••••••• S••••••left Jan 16, 2018, registered Dec 4, 2017 (-43 days) · Other
- P•••• S••••••••• L•• to P••• A••••• S••••••••• L••left Dec 12, 2016, registered Nov 8, 2017 (331 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
- Broker-dealer affiliated wealth managerderived
- Years in industry
- 14derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address