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.
R••••• S• P•••••••
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouse currentsince Nov 15, 2010 · Saint Augustine, Fl
- B••• I••••••••• S•••••••• I••• formerApr 11, 2008 to Oct 15, 2010 · Charlotte, Nc
- U•••• F•••••••• S••••••• G••••• I••• unclassifiedJul 21, 2006 to Mar 12, 2008 · Lexington, Sc
- A•••••• I••••••••• M••••••••• C•••••• L•• unclassifiedFeb 22, 2006 to Jul 5, 2006 · Memphis, Tn
- W•••• F•••• A••••••• wirehouseOct 1, 2000 to Feb 9, 2006 · St. Augustine, Fl
- B••• I••••••••• S•••••••• I••• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••left Oct 15, 2010, registered Nov 15, 2010 (31 days) · Other
- U•••• F•••••••• S••••••• G••••• I••• to B••• I••••••••• S•••••••• I•••left Mar 12, 2008, registered Apr 11, 2008 (30 days) · Other
- A•••••• I••••••••• M••••••••• C•••••• L•• to U•••• F•••••••• S••••••• G••••• I•••left Jul 5, 2006, registered Jul 21, 2006 (16 days) · Other
- W•••• F•••• A••••••• to A•••••• I••••••••• M••••••••• C•••••• L••left Feb 9, 2006, registered Feb 22, 2006 (13 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
- 27derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address