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.
W•••• B••••• M•••••••
- M••••• S•••••• wirehouse currentsince May 12, 2014 · Birmingham, Al
- E••••• J•••• national BDMar 1, 2013 to Aug 16, 2013 · St Louis, Mo
- N•••••••• A•••• M••••••••• independent RIAJul 20, 2012 to Oct 8, 2012 · Portland, Or
- K•• I••••••••• S••••••• L•• BD affiliatedFeb 13, 2009 to Sep 1, 2011 · Vancouver, Wa
- E••••• J•••• to M••••• S••••••left Aug 16, 2013, registered May 12, 2014 (269 days) · Affiliated broker-dealer or bank to wirehouse
- N•••••••• A•••• M••••••••• to E••••• J••••left Oct 8, 2012, registered Mar 1, 2013 (144 days) · Other
- K•• I••••••••• S••••••• L•• to N•••••••• A•••• M•••••••••left Sep 1, 2011, registered Jul 20, 2012 (323 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