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.
M••••••• A•• D••••
- S•••••• N••••••• • C••••••• I••••••••• national BD currentsince May 15, 2014 · Baltimore, Md
- O•••• F•• I••• formerApr 4, 2014 to May 10, 2014 · Vienna, Va
- U•• F•••••••• S••••••• I••• wirehouseSep 23, 2009 to Jun 15, 2012 · Weehawken, Nj
- C••••••••• A•••••••• I•• formerAug 3, 2006 to Feb 16, 2007 · C•••••••••, Oh
- O•••• F•• I••• to S•••••• N••••••• • C••••••• I•••••••••left May 10, 2014, registered May 15, 2014 (5 days) · Other
- U•• F•••••••• S••••••• I••• to O•••• F•• I•••left Jun 15, 2012, registered Apr 4, 2014 (658 days) · Other
- C••••••••• A•••••••• I•• to U•• F•••••••• S••••••• I•••left Feb 16, 2007, registered Sep 23, 2009 (950 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
- 25derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address