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.
R••••• S••••••• W•••••••••
- U•• F•••••••• S••••••• I••• wirehouse currentsince Oct 23, 2015 · Weehawken, Nj
- L•• P•• unclassifiedJul 15, 2014 to Apr 15, 2015 · Tampa, Fl
- I••••••••• A••••• I••••••••• M••••••••• L•• BD affiliatedNov 23, 2010 to May 9, 2011 · Orlando, Fl
- C••••••• W••••• A•••••••• L•• formerJan 21, 2010 to Nov 9, 2010 · Johnston, Ia
- G•••••••• F••••••••• I•• unclassifiedSep 5, 2006 to Apr 15, 2009 · Tampa, Fl
- L•• P•• to U•• F•••••••• S••••••• I•••left Apr 15, 2015, registered Oct 23, 2015 (191 days) · Other
- I••••••••• A••••• I••••••••• M••••••••• L•• to L•• P••left May 9, 2011, registered Jul 15, 2014 (1163 days) · Other
- C••••••• W••••• A•••••••• L•• to I••••••••• A••••• I••••••••• M••••••••• L••left Nov 9, 2010, registered Nov 23, 2010 (14 days) · Other
- G•••••••• F••••••••• I•• to C••••••• W••••• A•••••••• L••left Apr 15, 2009, registered Jan 21, 2010 (281 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
- 20derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address