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•••••• A••• G••••••••
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouse currentsince May 8, 2019 · Scottsdale, Az
- A••••••••• F•••••••• S•••••••• L•• national BDJan 7, 2014 to Mar 4, 2019 · Minneapolis, Mn
- C••••••• M••••••••• I••••••••• A•••••••• L•• asset managerNov 11, 2008 to May 20, 2010 · Boston, Ma
- U•• F•••••••• S••••••• I••• wirehouseAug 2, 2006 to May 14, 2008 · Stamford, Ct
- A••••••••• F•••••••• S•••••••• L•• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••left Mar 4, 2019, registered May 8, 2019 (65 days) · Affiliated broker-dealer or bank to wirehouse
- C••••••• M••••••••• I••••••••• A•••••••• L•• to A••••••••• F•••••••• S•••••••• L••left May 20, 2010, registered Jan 7, 2014 (1328 days) · Other
- U•• F•••••••• S••••••• I••• to C••••••• M••••••••• I••••••••• A•••••••• L••left May 14, 2008, registered Nov 11, 2008 (181 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
- 22derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address