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.
R••••• D••• L•••
- M•••• C••••••• A••••••• S•••••• BD affiliated currentsince Oct 17, 2017 · Boise, Id
- C••• F•••••••• S•••••••• L••• formerDec 14, 2016 to Oct 11, 2017 · Klamath Falls, Or
- M•••• C••••••• A••••••• S•••••• BD affiliatedJun 19, 2009 to Dec 16, 2016 · Palm Beach Gardens, Fl
- C••• B•••••••• S•••••••• I••• formerApr 23, 2001 to Jun 22, 2009 · Wasilla, Ak
- C••• F•••••••• S•••••••• L••• to M•••• C••••••• A••••••• S••••••left Oct 11, 2017, registered Oct 17, 2017 (6 days) · Other
- M•••• C••••••• A••••••• S•••••• to C••• F•••••••• S•••••••• L•••left Dec 16, 2016, registered Dec 14, 2016 (-2 days) · Other
- C••• B•••••••• S•••••••• I••• to M•••• C••••••• A••••••• S••••••left Jun 22, 2009, registered Jun 19, 2009 (-3 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
- 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