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.
S•••••• D••••••••
- S••••••• I••••••••• A•••••••• I••• other currentsince Jan 5, 2022 · Portland, Or
- S•••••• N••••••• • C••••••• I••••••••• national BDMay 24, 2018 to Apr 15, 2021 · St. Louis, Mo
- T••••••••• R••••••••• A•••••••• L•• BD affiliatedDec 6, 2014 to May 10, 2018 · Philadelphia, Pa
- S•••••• N••••••• • C••••••• I••••••••• to S••••••• I••••••••• A•••••••• I•••left Apr 15, 2021, registered Jan 5, 2022 (265 days) · Other
- T••••••••• R••••••••• A•••••••• L•• to S•••••• N••••••• • C••••••• I•••••••••left May 10, 2018, registered May 24, 2018 (14 days) · RIA to affiliated broker-dealer or bank
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
- Other adviserderived
- Years in industry
- 29derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address