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.
W•••••• R••••• F••••
- C•••••••• I••••••••• R••••••• A•••••••• I••• BD affiliated currentsince Apr 2, 2014 · Reston, Va
- F•••••• A••••••• S•••••••• L•• formerMay 1, 2009 to Apr 7, 2014 · St. Louis, Mo
- C•••••••• G••••• M•••••• I••• BD affiliatedSep 2, 1997 to May 21, 2009 · Mclean, Va
- F•••••• A••••••• S•••••••• L•• to C•••••••• I••••••••• R••••••• A•••••••• I•••left Apr 7, 2014, registered Apr 2, 2014 (-5 days) · Other
- C•••••••• G••••• M•••••• I••• to F•••••• A••••••• S•••••••• L••left May 21, 2009, registered May 1, 2009 (-20 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
- Broker-dealer affiliated wealth managerderived
- Years in industry
- 29derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address