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.
D•••• A•••••• B••••
- M••••• S•••••• wirehouse currentsince Sep 15, 2011 · Richmond, Va
- S••••••• I••••••••• S•••••••• I••• formerDec 11, 2007 to Sep 6, 2011 · Richmond, Va
- W•••• F•••• A••••••• wirehouseJan 3, 2004 to Dec 4, 2007 · Seattle, Wa
- C•••••• S••••• • C••• I••• national BDDec 31, 2001 to Dec 19, 2003 · Charlotte, Nc
- S••••••• I••••••••• S•••••••• I••• to M••••• S••••••left Sep 6, 2011, registered Sep 15, 2011 (9 days) · Other
- W•••• F•••• A••••••• to S••••••• I••••••••• S•••••••• I•••left Dec 4, 2007, registered Dec 11, 2007 (7 days) · Other
- C•••••• S••••• • C••• I••• to W•••• F•••• A•••••••left Dec 19, 2003, registered Jan 3, 2004 (15 days) · Affiliated broker-dealer or bank to wirehouse
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
- Wirehousederived
- Years in industry
- 31derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address