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.
M•• M••••••• S•••••
- S•••••• N••••••• • C••••••• I••••••••• national BD currentsince Jun 4, 2020 · Wilmington, Nc
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseAug 14, 2012 to Jun 5, 2020 · Wilmington, Nc
- O•• N•••• S•••• W••••• M••••••••• L•• independent RIAMay 26, 2009 to Jul 23, 2012 · Wilmington, Nc
- D••• D••••••• • C•• independent RIANov 20, 2002 to Oct 2, 2008 · Lake Oswego, Or
- U•• F•••••••• S••••••• I••• wirehouseSep 20, 2001 to Aug 28, 2002 · Newport Beach, Ca
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to S•••••• N••••••• • C••••••• I•••••••••left Jun 5, 2020, registered Jun 4, 2020 (-1 days) · Wirehouse to affiliated broker-dealer or bank · moved with a team
- O•• N•••• S•••• W••••• M••••••••• L•• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••left Jul 23, 2012, registered Aug 14, 2012 (22 days) · Other
- D••• D••••••• • C•• to O•• N•••• S•••• W••••• M••••••••• L••left Oct 2, 2008, registered May 26, 2009 (236 days) · Other
- U•• F•••••••• S••••••• I••• to D••• D••••••• • C••left Aug 28, 2002, registered Nov 20, 2002 (84 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
- National broker-dealer RIAderived
- Years in industry
- 26derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address