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••••• G••••• M•••••
- J••• M••••• S••••••••• L•• wirehouse currentsince Jun 9, 2014 · Westminster, Co
- J••• M••••• I••••••••• I••••••••• formerMar 2, 2010 to Dec 31, 2011 · Overland Park, Ks
- C•••• I••••••••• S••••••• C•••• formerOct 19, 2009 to Nov 20, 2009 · Englewood, Co
- G••••••••• I••••••••• asset managerAug 28, 2007 to Nov 4, 2008 · Chicago, Il
- J••• M••••• I••••••••• I••••••••• to J••• M••••• S••••••••• L••left Dec 31, 2011, registered Jun 9, 2014 (891 days) · Other
- C•••• I••••••••• S••••••• C•••• to J••• M••••• I••••••••• I•••••••••left Nov 20, 2009, registered Mar 2, 2010 (102 days) · Other
- G••••••••• I••••••••• to C•••• I••••••••• S••••••• C••••left Nov 4, 2008, registered Oct 19, 2009 (349 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
- 19derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address