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••••••••• T••••••
- R• F• L••••••• • C••• I••• BD affiliated currentsince Mar 1, 2016 · New York, Ny
- F•••••• A••••••• S•••••••• L•• formerNov 13, 2012 to Jul 20, 2016 · St. Louis, Mo
- M••••• S•••••• wirehouseJun 1, 2009 to Mar 27, 2012 · Clearwater, Fl
- M••••• S•••••• • C•• L•• unclassifiedApr 2, 2007 to Jun 11, 2009 · New York, Ny
- M••••• S•••••• D• I••• unclassifiedJan 4, 2006 to Apr 2, 2007 · Clearwater, Fl
- A••••••••• A•••••• S•••••••• I••• unclassifiedJul 7, 2003 to Jul 13, 2004 · Clearwater, Fl
- C•••••• L•• independent RIAOct 18, 2002 to Jul 9, 2003 · Clearwater, Fl
- F•••••• A••••••• S•••••••• L•• to R• F• L••••••• • C••• I•••left Jul 20, 2016, registered Mar 1, 2016 (-141 days) · Other
- M••••• S•••••• to F•••••• A••••••• S•••••••• L••left Mar 27, 2012, registered Nov 13, 2012 (231 days) · Other
- M••••• S•••••• • C•• L•• to M••••• S••••••left Jun 11, 2009, registered Jun 1, 2009 (-10 days) · corporate re-registration, not a move
- M••••• S•••••• D• I••• to M••••• S•••••• • C•• L••left Apr 2, 2007, registered Apr 2, 2007 (0 days) · corporate re-registration, not a move
- A••••••••• A•••••• S•••••••• I••• to M••••• S•••••• D• I•••left Jul 13, 2004, registered Jan 4, 2006 (540 days) · Other
- C•••••• L•• to A••••••••• A•••••• S•••••••• I•••left Jul 9, 2003, registered Jul 7, 2003 (-2 days) · corporate re-registration, not a move
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