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.
P•••• A••• R•••••••
- R••••••• W••••• M••••••••• L•• state registered currentsince Jan 4, 2016 · Reston, Va
- N••• C••••••••• BD affiliatedAug 20, 2007 to Jan 4, 2016 · Boca Raton, Fl
- G•••••••• F••••••••• I•• unclassifiedJul 31, 2007 to Aug 20, 2007 · Tampa, Fl
- B••••••••• S••••••••• C••••••••• unclassifiedNov 14, 2006 to Jul 18, 2007 · San Juan Capistrano, Ca
- R••••••• W••••• M••••••••• unclassifiedOct 10, 2006 to Oct 24, 2006 · Sterling, Va
- V••• F•••••••• A•••••••• I••• BD affiliatedJul 5, 2006 to Jul 12, 2006 · Charleston, Wv
- A••••••••• F•••••••• S•••••••• L•• national BDJun 22, 1999 to Jun 23, 2006 · Sterling, Va
- N••• C••••••••• to R••••••• W••••• M••••••••• L••left Jan 4, 2016, registered Jan 4, 2016 (0 days) · Other
- G•••••••• F••••••••• I•• to N••• C•••••••••left Aug 20, 2007, registered Aug 20, 2007 (0 days) · Other
- B••••••••• S••••••••• C••••••••• to G•••••••• F••••••••• I••left Jul 18, 2007, registered Jul 31, 2007 (13 days) · Other
- R••••••• W••••• M••••••••• to B••••••••• S••••••••• C•••••••••left Oct 24, 2006, registered Nov 14, 2006 (21 days) · Other
- V••• F•••••••• A•••••••• I••• to R••••••• W••••• M•••••••••left Jul 12, 2006, registered Oct 10, 2006 (90 days) · Other
- A••••••••• F•••••••• S•••••••• L•• to V••• F•••••••• A•••••••• I•••left Jun 23, 2006, registered Jul 5, 2006 (12 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
- 27derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address