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.
R•• B• R•••••
- H••••• M••• I••••••••• I••• no RAUM currentsince Jan 19, 2024 · Springfield, Il
- U••• B•••••• A•••••••• L•• BD affiliatedSep 3, 2015 to Nov 2, 2017 · St. Paul, Mn
- W•••• F•••• A••••••• wirehouseNov 23, 2011 to Oct 16, 2014 · Pasadena, Ca
- U••• B•••••• A•••••••• L•• BD affiliatedMay 11, 2004 to Nov 16, 2011 · Laguna Hills, Ca
- S•••••••• A••••••• L•• national BDMay 21, 2002 to May 28, 2004 · Palm Desert, Ca
- U••• B•••••• A•••••••• L•• to H••••• M••• I••••••••• I•••left Nov 2, 2017, registered Jan 19, 2024 (2269 days) · Other
- W•••• F•••• A••••••• to U••• B•••••• A•••••••• L••left Oct 16, 2014, registered Sep 3, 2015 (322 days) · Other
- U••• B•••••• A•••••••• L•• to W•••• F•••• A•••••••left Nov 16, 2011, registered Nov 23, 2011 (7 days) · Other
- S•••••••• A••••••• L•• to U••• B•••••• A•••••••• L••left May 28, 2004, registered May 11, 2004 (-17 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
- No RAUM reportedderived
- Years in industry
- 24derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address