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.
D••••• E••• D••••
- C••••••• P••••••• independent RIA currentsince Sep 16, 2013 · Overland Park, Ks
- C•••••• G••••••• W••••• M••••••••• L•• formerJan 25, 2011 to Sep 10, 2013 · Miami, Fl
- W•••• F•••• A••••••• wirehouseNov 15, 2006 to Jan 25, 2011 · Jacksonville, Fl
- R•••••• J•••• • A••••••••• I••• national BDSep 18, 2003 to Nov 6, 2006 · Orlando, Fl
- C•••••• G••••••• W••••• M••••••••• L•• to C••••••• P•••••••left Sep 10, 2013, registered Sep 16, 2013 (6 days) · Other
- W•••• F•••• A••••••• to C•••••• G••••••• W••••• M••••••••• L••left Jan 25, 2011, registered Jan 25, 2011 (0 days) · Other
- R•••••• J•••• • A••••••••• I••• to W•••• F•••• A•••••••left Nov 6, 2006, registered Nov 15, 2006 (9 days) · Affiliated broker-dealer or bank 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
- Independent wealth managerderived
- Years in industry
- 27derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address