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.
G••• W• B••••••
- W•••• F•••• A••••••• wirehouse currentsince Oct 29, 2021 · Tarpon Springs, Fl
- W•••• F•••• A••••••• wirehouseMar 22, 2018 to Aug 3, 2021 · Minneapolis, Mn
- B••• I••••••••• S•••••••• I••• formerMar 7, 2014 to Nov 3, 2017 · Charlotte, Nc
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseOct 23, 2009 to Jan 31, 2014 · Norfolk, Va
- B••• O• A•••••• I••••••••• S•••••••• I••• unclassifiedJan 2, 2003 to Oct 23, 2009 · Norfolk, Va
- B••• I••••••••• S•••••••• I••• to W•••• F•••• A•••••••left Nov 3, 2017, registered Mar 22, 2018 (139 days) · Other
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to B••• I••••••••• S•••••••• I•••left Jan 31, 2014, registered Mar 7, 2014 (35 days) · Wirehouse to a newly registered adviser (no RAUM reported yet)
- 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
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
- 23derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address