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.
A••••• R•••• H••••••• D•••••
- C•• I••••••••• S••••••••• I••• state registered currentsince Sep 13, 2007 · Sarasota, Fl
- H• B•••• I••• formerMay 21, 2007 to Aug 13, 2007 · Fairview Village, Pa
- V••• F•••••••• A•••••••• I••• BD affiliatedJun 16, 2004 to Dec 9, 2004 · Sarasota, Fl
- C•• R••••••••• S••••••••• P••• unclassifiedJan 1, 2003 to Mar 26, 2007 · Sarasota, Fl
- H• B•••• I••• to C•• I••••••••• S••••••••• I•••left Aug 13, 2007, registered Sep 13, 2007 (31 days) · Other
- C•• R••••••••• S••••••••• P••• to V••• F•••••••• A•••••••• I•••left Mar 26, 2007, registered Jun 16, 2004 (-1013 days) · Other
- V••• F•••••••• A•••••••• I••• to H• B•••• I•••left Dec 9, 2004, registered May 21, 2007 (893 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
- STATE REGISTEREDderived
- Years in industry
- 28derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address