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.
- M••••• S•••••• wirehouse currentsince May 6, 2014 · Las Vegas, Nv
- R••• W••••• L•• mixed wealthNov 18, 2009 to Aug 20, 2013 · Albuquerque, Nm
- C•• W••••• A••••••• L•• unclassifiedMar 19, 2009 to Dec 9, 2009 · Albuquerque, Nm
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseJan 31, 2008 to Jun 27, 2008 · Albuquerque, Nm
- R••• W••••• L•• to M••••• S••••••left Aug 20, 2013, registered May 6, 2014 (259 days) · Other
- C•• W••••• A••••••• L•• to R••• W••••• L••left Dec 9, 2009, registered Nov 18, 2009 (-21 days) · Other
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to C•• W••••• A••••••• L••left Jun 27, 2008, registered Mar 19, 2009 (265 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
- Wirehousederived
- Years in industry
- 18derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address