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.
- A••••••••• I••• BD affiliated currentsince Jul 30, 2020 · Concord, Ca
- A•••••••• F•••• M••••••••• L•• asset managerDec 22, 2016 to Jul 27, 2020 · Charlotte, Nc
- C•••••• S••••• • C••• I••• national BDJul 30, 2008 to Jun 8, 2016 · Englewood, Co
- E••••• J•••• national BDFeb 5, 2007 to Jan 31, 2008 · St. Louis, Mo
- A•••••••• F•••• M••••••••• L•• to A••••••••• I•••left Jul 27, 2020, registered Jul 30, 2020 (3 days) · Other
- C•••••• S••••• • C••• I••• to A•••••••• F•••• M••••••••• L••left Jun 8, 2016, registered Dec 22, 2016 (197 days) · Other
- E••••• J•••• to C•••••• S••••• • C••• I•••left Jan 31, 2008, registered Jul 30, 2008 (181 days) · Affiliated broker-dealer or bank to another
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
- Broker-dealer affiliated wealth managerderived
- Years in industry
- 20derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address