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.
D••••• P• D•••••
- S•••••• N••••••• • C••••••• I••••••••• national BD currentsince Oct 16, 2009 · Ames, Ia
- U•• F•••••••• S••••••• I••• wirehouseAug 12, 2006 to Oct 16, 2009 · Weehawken, Nj
- P•••• S•••••• • C•• institutionalSep 26, 2002 to Aug 12, 2006 · Minneapolis, Mn
- U•• F•••••••• S••••••• I••• wirehouseJun 16, 2000 to Jul 29, 2002 · La Jolla, Ca
- U•• F•••••••• S••••••• I••• to S•••••• N••••••• • C••••••• I•••••••••left Oct 16, 2009, registered Oct 16, 2009 (0 days) · Wirehouse to affiliated broker-dealer or bank
- P•••• S•••••• • C•• to U•• F•••••••• S••••••• I•••left Aug 12, 2006, registered Aug 12, 2006 (0 days) · corporate re-registration, not a move
- U•• F•••••••• S••••••• I••• to P•••• S•••••• • C••left Jul 29, 2002, registered Sep 26, 2002 (59 days) · Wirehouse to a newly registered adviser (no RAUM reported yet)
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
- National broker-dealer RIAderived
- Years in industry
- 30derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address