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.
T••••• H••••• L•••••••••
- L••••••• S••••••••• C•••• BD affiliated currentsince Oct 30, 2018 · Rochester, Ny
- F•••••••• E••••• S•••••••• I••• formerJul 8, 2016 to Nov 6, 2018 · Columbia, Mo
- N••• F•••••••• G••••• I••• formerNov 17, 2004 to Jul 6, 2016 · Columbia, Mo
- C••••• I••••••••• A••••••• L•• BD affiliatedNov 21, 2002 to Feb 3, 2003 · Columbia, Mo
- F•••••••• E••••• S•••••••• I••• to L••••••• S••••••••• C••••left Nov 6, 2018, registered Oct 30, 2018 (-7 days) · Affiliated broker-dealer or bank to independent RIA · moved with a team
- N••• F•••••••• G••••• I••• to F•••••••• E••••• S•••••••• I•••left Jul 6, 2016, registered Jul 8, 2016 (2 days) · Other
- C••••• I••••••••• A••••••• L•• to N••• F•••••••• G••••• I•••left Feb 3, 2003, registered Nov 17, 2004 (653 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
- 32derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address