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.
M••••• G•• T••••
- S•••••• N••••••• • C••••••• I••••••••• national BD currentsince Feb 29, 2008 · Brevard, Nc
- W•••• F•••• A••••••• wirehouseOct 5, 2007 to Feb 29, 2008 · Asheville, Nc
- R•••••• J•••• • A••••••••• I••• national BDApr 28, 2005 to Mar 12, 2007 · Brevard, Nc
- F•••• C••••••• I••••••• S•••••••• I••• BD affiliatedMar 2, 2004 to Apr 27, 2005 · Brevard, Nc
- W•••• F•••• A••••••• wirehouseJun 21, 2002 to Mar 3, 2004 · Brevard, Nc
- W••••••• S••••••••• I••• unclassifiedJan 28, 2002 to Jun 21, 2002 · Brevard, Nc
- W•••• F•••• A••••••• to S•••••• N••••••• • C••••••• I•••••••••left Feb 29, 2008, registered Feb 29, 2008 (0 days) · Wirehouse to affiliated broker-dealer or bank
- R•••••• J•••• • A••••••••• I••• to W•••• F•••• A•••••••left Mar 12, 2007, registered Oct 5, 2007 (207 days) · Affiliated broker-dealer or bank to wirehouse
- F•••• C••••••• I••••••• S•••••••• I••• to R•••••• J•••• • A••••••••• I•••left Apr 27, 2005, registered Apr 28, 2005 (1 days) · Other
- W•••• F•••• A••••••• to F•••• C••••••• I••••••• S•••••••• I•••left Mar 3, 2004, registered Mar 2, 2004 (-1 days) · Other
- W••••••• S••••••••• I••• to W•••• F•••• A•••••••left Jun 21, 2002, registered Jun 21, 2002 (0 days) · corporate re-registration, not a move
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