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.
B•••• W•••••
- W•••• F•••• A••••••• wirehouse currentsince Feb 27, 2020 · Long Beach, Ca
- C••••• I••••••••• A•••••••• L•• mixed wealthAug 29, 2016 to Jan 15, 2020 · West Lake Hills, Tx
- C•••••••• G••••• M•••••• I••• BD affiliatedFeb 10, 2015 to Aug 26, 2016 · Washington, Dc
- C•••••••• G••••• M•••••• I••• BD affiliatedMar 22, 1998 to Jul 2, 2003 · San Francisco, Ca
- C••••• I••••••••• A•••••••• L•• to W•••• F•••• A•••••••left Jan 15, 2020, registered Feb 27, 2020 (43 days) · RIA to wirehouse
- C•••••••• G••••• M•••••• I••• to C••••• I••••••••• A•••••••• L••left Aug 26, 2016, registered Aug 29, 2016 (3 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
- Wirehousederived
- Years in industry
- 28derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address