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.
G•••••• G••••• M•••••
- A••••••••• F•••••••• S•••••••• L•• national BD currentsince Feb 24, 2014 · Renton, Wa
- V••• W••••• M••••••••• L•• formerMar 8, 2010 to Aug 27, 2012 · San Diego, Ca
- C•••••••• M••••••••• G•••• formerDec 6, 2004 to Mar 27, 2006 · Issaquah, Wa
- T• A••••••••• I••• formerJan 13, 2004 to Sep 27, 2004 · Denver, Co
- V••• W••••• M••••••••• L•• to A••••••••• F•••••••• S•••••••• L••left Aug 27, 2012, registered Feb 24, 2014 (546 days) · Other
- C•••••••• M••••••••• G•••• to V••• W••••• M••••••••• L••left Mar 27, 2006, registered Mar 8, 2010 (1442 days) · Other
- T• A••••••••• I••• to C•••••••• M••••••••• G••••left Sep 27, 2004, registered Dec 6, 2004 (70 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
- National broker-dealer RIAderived
- Years in industry
- 22derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address