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.
B••••••••• M•••• S••••
- A••••••••• F•••••••• S•••••••• L•• national BD currentsince May 2, 2018 · North Myrtle Beach, Sc
- S••••••• C•••••• M••••••••• independent RIAMar 31, 2006 to May 24, 2018 · Wheeling, Wv
- B••• O•• S••••••••• C••••••••• unclassifiedJul 17, 1998 to Sep 3, 2003 · Wheeling, Wv
- S••••••• C•••••• M••••••••• to A••••••••• F•••••••• S•••••••• L••left May 24, 2018, registered May 2, 2018 (-22 days) · RIA to affiliated broker-dealer or bank
- B••• O•• S••••••••• C••••••••• to S••••••• C•••••• M•••••••••left Sep 3, 2003, registered Mar 31, 2006 (940 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
- 29derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address