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.
F••••• N•••• C••••••••
- B• R•••• W••••• A•••••••• I••• BD affiliated currentsince Aug 25, 2022 · Miami, Fl
- W•••• F•••• A••••••• wirehouseMar 19, 2010 to Dec 9, 2019 · Reston, Va
- U•• F•••••••• S••••••• I••• wirehouseApr 19, 2001 to Mar 25, 2010 · Vienna, Va
- W•••• F•••• A••••••• to B• R•••• W••••• A•••••••• I•••left Dec 9, 2019, registered Aug 25, 2022 (990 days) · Wirehouse to affiliated broker-dealer or bank
- U•• F•••••••• S••••••• I••• to W•••• F•••• A•••••••left Mar 25, 2010, registered Mar 19, 2010 (-6 days) · Wirehouse to wirehouse
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