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•••••• R• W••••••••
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouse currentsince Jun 26, 2013 · Denver, Co
- Z•••• I••••••••• M••••••••• I••• mixed wealthApr 25, 2011 to Jul 24, 2013 · Chicago, Il
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseJan 1, 1999 to Jan 8, 2003 · Denver, Co
- Z•••• I••••••••• M••••••••• I••• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••left Jul 24, 2013, registered Jun 26, 2013 (-28 days) · Other
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to Z•••• I••••••••• M••••••••• I•••left Jan 8, 2003, registered Apr 25, 2011 (3029 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
- Wirehousederived
- Years in industry
- 27derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address