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.
R••••• F•••••• S•••••••
- C•••••••• F••••••••• I••• BD affiliated currentsince Jun 17, 2011 · Chester, Md
- G•• S••••••••• I••• BD affiliatedSep 29, 2006 to Jun 17, 2011 · Palm Beach Gardens, Fl
- W••••• S••••• S••••••••• I••• formerAug 1, 2003 to Oct 16, 2006 · Easton, Md
- N••••• • L•••• S••••••••• I••• unclassifiedJun 28, 2002 to Aug 1, 2003 · Easton , Md
- V••• F•••••••• A•••••••• I••• BD affiliatedMar 28, 2000 to Jul 1, 2002 · Easton, Md
- G•• S••••••••• I••• to C•••••••• F••••••••• I•••left Jun 17, 2011, registered Jun 17, 2011 (0 days) · Other
- W••••• S••••• S••••••••• I••• to G•• S••••••••• I•••left Oct 16, 2006, registered Sep 29, 2006 (-17 days) · Other
- N••••• • L•••• S••••••••• I••• to W••••• S••••• S••••••••• I•••left Aug 1, 2003, registered Aug 1, 2003 (0 days) · corporate re-registration, not a move
- V••• F•••••••• A•••••••• I••• to N••••• • L•••• S••••••••• I•••left Jul 1, 2002, registered Jun 28, 2002 (-3 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
- 35derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address