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••• P••••
- C•••••••• I••••••••• R••••••• A•••••••• I••• BD affiliated currentsince Sep 10, 2015 · Scott Twp., Pa
- A•••••••• I••••••••• M••••••••• L•• formerNov 8, 2010 to Aug 7, 2015 · Olyphant, Pa
- N••••••• P••••••• C••••••••• •••• O• A••••••• I• F• • N•• formerDec 15, 2008 to Jul 31, 2012 · Cedar Rapids, Ia
- S•••••••• F••••••••• I••• formerOct 31, 2005 to Dec 17, 2008 · Phoenix, Az
- S••••••••• S••••••••• I••• unclassifiedNov 20, 2003 to Oct 31, 2005 · Clarks Summit, Pa
- A•••••••• I••••••••• M••••••••• L•• to C•••••••• I••••••••• R••••••• A•••••••• I•••left Aug 7, 2015, registered Sep 10, 2015 (34 days) · Other
- N••••••• P••••••• C••••••••• •••• O• A••••••• I• F• • N•• to A•••••••• I••••••••• M••••••••• L••left Jul 31, 2012, registered Nov 8, 2010 (-631 days) · Other
- S•••••••• F••••••••• I••• to N••••••• P••••••• C••••••••• •••• O• A••••••• I• F• • N••left Dec 17, 2008, registered Dec 15, 2008 (-2 days) · Other
- S••••••••• S••••••••• I••• to S•••••••• F••••••••• I•••left Oct 31, 2005, registered Oct 31, 2005 (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
- 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