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.
G•••• E••• C•••••••
- W•••• F•••• A••••••• wirehouse currentsince Mar 30, 2016 · Tarpon Springs, Fl
- S••••••• I••••••••• S•••••••• I••• formerJul 1, 2011 to May 18, 2015 · Vienna, Va
- A••••• A•• P••••••• S••••••• BD affiliatedJul 29, 2009 to Apr 1, 2011 · Bethesda, Md
- B••• O• A•••••• I••••••••• S•••••••• I••• unclassifiedOct 29, 2007 to Mar 5, 2009 · Chevy Chase, Md
- S••••••• I••••••••• S•••••••• I••• to W•••• F•••• A•••••••left May 18, 2015, registered Mar 30, 2016 (317 days) · Other
- A••••• A•• P••••••• S••••••• to S••••••• I••••••••• S•••••••• I•••left Apr 1, 2011, registered Jul 1, 2011 (91 days) · Other
- B••• O• A•••••• I••••••••• S•••••••• I••• to A••••• A•• P••••••• S•••••••left Mar 5, 2009, registered Jul 29, 2009 (146 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
- 31derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address