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.
K•••••• W•••• F••••
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouse currentsince Oct 23, 2009 · New York, Ny
- B••• O• A•••••• I••••••••• S•••••••• I••• unclassifiedJan 5, 2009 to Oct 23, 2009 · Dallas, Tx
- B••• A•••••••• L•• formerApr 4, 2005 to Dec 31, 2008 · Dallas, Tx
- C••••••• M••••••••• A•••••••• I••• unclassifiedApr 15, 2003 to Apr 4, 2005 · Boston, Ma
- B••• O• A•••••• I••••••••• S•••••••• I••• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••left Oct 23, 2009, registered Oct 23, 2009 (0 days) · corporate re-registration, not a move
- B••• A•••••••• L•• to B••• O• A•••••• I••••••••• S•••••••• I•••left Dec 31, 2008, registered Jan 5, 2009 (5 days) · Other
- C••••••• M••••••••• A•••••••• I••• to B••• A•••••••• L••left Apr 4, 2005, registered Apr 4, 2005 (0 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
- Wirehousederived
- Years in industry
- 28derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address