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.
A•••••• R•••••• W•••••••••
- W•••• F•••• A••••••• wirehouse currentsince May 12, 2014 · Alexandria, Va
- M•• S••••••••• I••• unclassifiedFeb 19, 2010 to May 13, 2014 · Woodbridge, Va
- B••• C•••••• I••••••••• S••••••••• I•• unclassifiedAug 13, 2007 to Jul 15, 2008 · Houston, Tx
- C••••• I••••••••• S••••••• L•• formerJul 19, 2006 to Jun 27, 2007 · Santa Maria, Ca
- U••• B•••••• A•••••••• L•• BD affiliatedAug 5, 2004 to Jul 6, 2006 · San Luis Obispo, Ca
- S•••••••• A••••••• L•• national BDDec 9, 2003 to Jul 2, 2004 · Walnut Creek, Ca
- W•••• F•••• I••••••••• L•• unclassifiedAug 14, 2000 to Jan 23, 2003 · Palo Alto, Ca
- M•• S••••••••• I••• to W•••• F•••• A•••••••left May 13, 2014, registered May 12, 2014 (-1 days) · Other
- B••• C•••••• I••••••••• S••••••••• I•• to M•• S••••••••• I•••left Jul 15, 2008, registered Feb 19, 2010 (584 days) · Other
- C••••• I••••••••• S••••••• L•• to B••• C•••••• I••••••••• S••••••••• I••left Jun 27, 2007, registered Aug 13, 2007 (47 days) · Other
- U••• B•••••• A•••••••• L•• to C••••• I••••••••• S••••••• L••left Jul 6, 2006, registered Jul 19, 2006 (13 days) · Other
- S•••••••• A••••••• L•• to U••• B•••••• A•••••••• L••left Jul 2, 2004, registered Aug 5, 2004 (34 days) · Other
- W•••• F•••• I••••••••• L•• to S•••••••• A••••••• L••left Jan 23, 2003, registered Dec 9, 2003 (320 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