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.
C•••••• M••• O•••••••••
- V•••• C•••••• P•••••••• L•• independent RIA currentsince Jan 8, 2015 · Port Wing, Wi
- M•• F•••••••• S•••••••• I••• formerOct 7, 2011 to Jan 5, 2015 · Tempe, Az
- E•••••••• A•••••••• L•• national BDApr 24, 2001 to Mar 9, 2009 · Scottsdale, Az
- M•• F•••••••• S•••••••• I••• to V•••• C•••••• P•••••••• L••left Jan 5, 2015, registered Jan 8, 2015 (3 days) · Other
- E•••••••• A•••••••• L•• to M•• F•••••••• S•••••••• I•••left Mar 9, 2009, registered Oct 7, 2011 (942 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
- Independent wealth managerderived
- Years in industry
- 27derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address