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•••• E•••••• T•••••
- A••••• A•• P••••••• S••••••• BD affiliated currentsince Jun 21, 2021 · Huntersville, Nc
- P•••••••• S••••••••• I••• BD affiliatedJan 21, 2021 to Jun 4, 2021 · Raleigh, Nc
- E•••••••• A•••••••• L•• national BDMay 17, 2016 to Jan 15, 2021 · Miami, Fl
- W•••• F•••• A••••••• wirehouseApr 2, 2014 to Mar 3, 2015 · Minneapolis, Mn
- E•••• N••••••• S••••••••• I••• formerMay 24, 2012 to Aug 30, 2012 · Napa, Ca
- S••••••• I••••••••• S•••••••• I••• formerNov 21, 2006 to Apr 23, 2012 · Coral Gables, Fl
- P•••••••• S••••••••• I••• to A••••• A•• P••••••• S•••••••left Jun 4, 2021, registered Jun 21, 2021 (17 days) · Affiliated broker-dealer or bank to another
- E•••••••• A•••••••• L•• to P•••••••• S••••••••• I•••left Jan 15, 2021, registered Jan 21, 2021 (6 days) · Affiliated broker-dealer or bank to another
- W•••• F•••• A••••••• to E•••••••• A•••••••• L••left Mar 3, 2015, registered May 17, 2016 (441 days) · Wirehouse to affiliated broker-dealer or bank
- E•••• N••••••• S••••••••• I••• to W•••• F•••• A•••••••left Aug 30, 2012, registered Apr 2, 2014 (580 days) · Other
- S••••••• I••••••••• S•••••••• I••• to E•••• N••••••• S••••••••• I•••left Apr 23, 2012, registered May 24, 2012 (31 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
- Broker-dealer affiliated wealth managerderived
- Years in industry
- 30derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address