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.
T•••• A•••••••• W••••••
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouse currentsince Jan 16, 2014 · Evansville, In
- I•••••••• C•••••• A••••••• formerMar 27, 2007 to Jan 24, 2014 · Lynnfield, Ma
- F•••• T•••• S••••••••• I••• BD affiliatedJul 27, 2006 to Apr 12, 2007 · Evansville, In
- U•••• F•••••••• S••••••• G••••• I••• unclassifiedAug 22, 2003 to Jul 13, 2005 · Henderson, Ky
- N•••••• I••••••••• I••• unclassifiedSep 20, 2000 to Sep 10, 2003 · Indianapolis, In
- I•••••••• C•••••• A••••••• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••left Jan 24, 2014, registered Jan 16, 2014 (-8 days) · Other
- F•••• T•••• S••••••••• I••• to I•••••••• C•••••• A•••••••left Apr 12, 2007, registered Mar 27, 2007 (-16 days) · Other
- U•••• F•••••••• S••••••• G••••• I••• to F•••• T•••• S••••••••• I•••left Jul 13, 2005, registered Jul 27, 2006 (379 days) · Other
- N•••••• I••••••••• I••• to U•••• F•••••••• S••••••• G••••• I•••left Sep 10, 2003, registered Aug 22, 2003 (-19 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
- 30derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address