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.
C•••• C•••• S••••••
- I••••••••• F•••••••• G••••• L•• BD affiliated currentsince Dec 1, 2015 · Boise, Id
- T••••• A••••••• S•••••••• L•• formerNov 4, 2009 to Dec 1, 2015 · Las Vegas, Nv
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseNov 2, 2007 to Sep 24, 2009 · Boise, Id
- W•••• F•••• I••••••••• L•• unclassifiedJan 29, 2007 to Nov 2, 2007 · Eagle, Id
- T••••• A••••••• S•••••••• L•• to I••••••••• F•••••••• G••••• L••left Dec 1, 2015, registered Dec 1, 2015 (0 days) · Other
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to T••••• A••••••• S•••••••• L••left Sep 24, 2009, registered Nov 4, 2009 (41 days) · Other
- W•••• F•••• I••••••••• L•• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••left Nov 2, 2007, registered Nov 2, 2007 (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
- Broker-dealer affiliated wealth managerderived
- Years in industry
- 28derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address