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•••••• P•••••• R••••
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouse currentsince Feb 18, 2016 · Vienna, Va
- M••••• S•••••• wirehouseJun 1, 2009 to Dec 22, 2015 · Washington, Dc
- C•••••••• G••••• M•••••• I••• BD affiliatedMar 17, 2009 to Jun 1, 2009 · Washington, Dc
- U•• F•••••••• S••••••• I••• wirehouseSep 30, 2002 to Dec 31, 2008 · Washington, Dc
- D••••••• B••• S••••••••• I••• no RAUMAug 11, 2000 to Oct 10, 2002 · Washington, Dc
- M••••• S•••••• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••left Dec 22, 2015, registered Feb 18, 2016 (58 days) · Wirehouse to wirehouse
- C•••••••• G••••• M•••••• I••• to M••••• S••••••left Jun 1, 2009, registered Jun 1, 2009 (0 days) · corporate re-registration, not a move
- U•• F•••••••• S••••••• I••• to C•••••••• G••••• M•••••• I•••left Dec 31, 2008, registered Mar 17, 2009 (76 days) · Other
- D••••••• B••• S••••••••• I••• to U•• F•••••••• S••••••• I•••left Oct 10, 2002, registered Sep 30, 2002 (-10 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
- 28derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address