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.
A••••• T•••••
- S••••• A••••••• I••• BD affiliated currentsince Nov 23, 2020 · Birmingham, Al
- C•••••••• G••••• M•••••• I••• BD affiliatedAug 29, 2013 to Feb 3, 2017 · New York, Ny
- J••• M••••• S••••••••• L•• wirehouseOct 1, 2012 to Jul 30, 2013 · Houston, Tx
- C•••• I••••••••• S••••••• C•••• formerFeb 29, 2012 to Oct 1, 2012 · Houston, Tx
- U•• F•••••••• S••••••• I••• wirehouseJan 1, 2010 to Feb 24, 2012 · Weehawken, Nj
- U•• I••••••••• I••• unclassifiedJun 3, 2002 to Jan 1, 2010 · Coral Gables, Fl
- U•• F•••••••• S••••••• I••• wirehouseMar 12, 1998 to Jun 1, 2002 · Coral Gables, Fl
- C•••••••• G••••• M•••••• I••• to S••••• A••••••• I•••left Feb 3, 2017, registered Nov 23, 2020 (1389 days) · Other
- J••• M••••• S••••••••• L•• to C•••••••• G••••• M•••••• I•••left Jul 30, 2013, registered Aug 29, 2013 (30 days) · Other
- C•••• I••••••••• S••••••• C•••• to J••• M••••• S••••••••• L••left Oct 1, 2012, registered Oct 1, 2012 (0 days) · corporate re-registration, not a move
- U•• F•••••••• S••••••• I••• to C•••• I••••••••• S••••••• C••••left Feb 24, 2012, registered Feb 29, 2012 (5 days) · Other
- U•• I••••••••• I••• to U•• F•••••••• S••••••• I•••left Jan 1, 2010, registered Jan 1, 2010 (0 days) · corporate re-registration, not a move
- U•• F•••••••• S••••••• I••• to U•• I••••••••• I•••left Jun 1, 2002, registered Jun 3, 2002 (2 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