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.
D•••• F•••• W••••
- F•••• independent RIA currentsince Nov 7, 2017 · West Palm Beach, Fl
- S••••• W••••• M••••••••• independent RIAJan 14, 2015 to Aug 16, 2017 · Mcclean, Va
- A••••• A•• P••••••• S••••••• BD affiliatedAug 19, 2010 to Nov 13, 2014 · Fairfax, Va
- T• R••• P•••• A••••••• S•••••••• I••• BD affiliatedApr 25, 2001 to Jul 30, 2010 · Tampa, Fl
- S••••• W••••• M••••••••• to F••••left Aug 16, 2017, registered Nov 7, 2017 (83 days) · Other
- A••••• A•• P••••••• S••••••• to S••••• W••••• M•••••••••left Nov 13, 2014, registered Jan 14, 2015 (62 days) · Other
- T• R••• P•••• A••••••• S•••••••• I••• to A••••• A•• P••••••• S•••••••left Jul 30, 2010, registered Aug 19, 2010 (20 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
- Independent wealth managerderived
- Years in industry
- 28derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address