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.
K••••• H•••••
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouse currentsince Feb 24, 2016 · Mcallen, Tx
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseAug 2, 2013 to Jul 15, 2015 · Virginia Beach, Va
- C•••••••• I••••••••• R••••••• A•••••••• I••• BD affiliatedJul 19, 2010 to Sep 13, 2011 · Berlin, Md
- R•• C•••••• M••••••• L•• national BDDec 9, 2008 to Jul 8, 2010 · Denver, Co
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseApr 24, 2007 to Dec 1, 2008 · Ocean City, Md
- C•••••••• I••••••••• R••••••• A•••••••• I••• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••left Sep 13, 2011, registered Aug 2, 2013 (689 days) · Other
- R•• C•••••• M••••••• L•• to C•••••••• I••••••••• R••••••• A•••••••• I•••left Jul 8, 2010, registered Jul 19, 2010 (11 days) · Other
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to R•• C•••••• M••••••• L••left Dec 1, 2008, registered Dec 9, 2008 (8 days) · Wirehouse to affiliated broker-dealer or bank
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
- Wirehousederived
- Years in industry
- 25derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address