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•••••• M•••••• S•••••••
- C••••••••• F•••••••• N•••••• national BD currentsince Feb 6, 2020 · Tucson, Az
- C••• I••••••••• A••••••• S•••••••• L•• institutionalAug 11, 2017 to Mar 3, 2020 · Cleveland, Oh
- C••• W••••• M••••••••• L•• unclassifiedMay 24, 2010 to Apr 1, 2011 · Cleveland, Oh
- C••• R••••••••• P••• A••••••• S••••••• institutionalJan 28, 2005 to Mar 3, 2020 · Atlanta, Ga
- N••••••• P••••••• C••••••••• •••• O• A••••••• I• F• • N•• formerJan 28, 2004 to Nov 2, 2006 · Cumberland, Md
- C••• R••••••••• P••• A••••••• S••••••• to C••• W••••• M••••••••• L••left Mar 3, 2020, registered May 24, 2010 (-3571 days) · Other
- C••• I••••••••• A••••••• S•••••••• L•• to C••••••••• F•••••••• N••••••left Mar 3, 2020, registered Feb 6, 2020 (-26 days) · Other
- C••• W••••• M••••••••• L•• to C••• I••••••••• A••••••• S•••••••• L••left Apr 1, 2011, registered Aug 11, 2017 (2324 days) · Other
- N••••••• P••••••• C••••••••• •••• O• A••••••• I• F• • N•• to C••• R••••••••• P••• A••••••• S•••••••left Nov 2, 2006, registered Jan 28, 2005 (-643 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
- 31derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address