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.
C••••••••• B•••• D•••••
- D••••• C•••••• M••••••••• L•• independent RIA currentsince Feb 2, 2011 · San Diego, Ca
- C••• W••••• M••••••••• L•• unclassifiedMay 24, 2010 to Dec 31, 2010 · Cleveland, Oh
- C••• R••••••••• P••• A••••••• S••••••• institutionalJun 29, 2005 to Dec 31, 2010 · Cleveland, Oh
- N••• W••••• S••••••••• I••• unclassifiedMay 12, 2004 to May 26, 2005 · San Diego , Ca
- C••• W••••• M••••••••• L•• to D••••• C•••••• M••••••••• L••left Dec 31, 2010, registered Feb 2, 2011 (33 days) · Other
- C••• R••••••••• P••• A••••••• S••••••• to C••• W••••• M••••••••• L••left Dec 31, 2010, registered May 24, 2010 (-221 days) · Other
- N••• W••••• S••••••••• I••• to C••• R••••••••• P••• A••••••• S•••••••left May 26, 2005, registered Jun 29, 2005 (34 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
- Independent wealth managerderived
- Years in industry
- 29derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address