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 Dec 10, 2014 · Peoria, Il
- D•••• A• N•••• • C•••••• formerOct 20, 2011 to Sep 10, 2014 · Miami, Fl
- U•• F•••••••• S••••••• I••• wirehouseAug 1, 2011 to Oct 25, 2011 · Naperville, Il
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseMar 1, 2004 to Jan 27, 2010 · Pewaukee, Wi
- D•••• A• N•••• • C•••••• to M••••• S••••••left Sep 10, 2014, registered Dec 10, 2014 (91 days) · Other
- U•• F•••••••• S••••••• I••• to D•••• A• N•••• • C••••••left Oct 25, 2011, registered Oct 20, 2011 (-5 days) · Other
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to U•• F•••••••• S••••••• I•••left Jan 27, 2010, registered Aug 1, 2011 (551 days) · Wirehouse 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
- 30derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address