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.
S•••••• J•••• M••••
- M•• W••••• A••••••• independent RIA currentsince Jun 12, 2015 · Miramar Beach, Fl
- O••• W••••• A•••••••• I••• formerJul 7, 2010 to Dec 31, 2013 · Miramar Beach, Fl
- Q•••••• A•••• M••••••••• I••• formerNov 20, 2006 to May 17, 2010 · Minneapolis, Mn
- U•••••••• S••••••••• I••• unclassifiedAug 5, 2005 to Jun 16, 2006 · Miramar Beach, Fl
- A• G• E•••••• • S•••• I••• unclassifiedJun 12, 2003 to Apr 15, 2004 · Destin, Fl
- S••••••• W••••• C•••• I••• unclassifiedMar 26, 2003 to Dec 31, 2003 · Steamboat Springs, Co
- F•• S••••••••• C••••••••• formerNov 16, 1999 to Jun 19, 2003 · Steamboat Springs, Co
- O••• W••••• A•••••••• I••• to M•• W••••• A•••••••left Dec 31, 2013, registered Jun 12, 2015 (528 days) · Other
- Q•••••• A•••• M••••••••• I••• to O••• W••••• A•••••••• I•••left May 17, 2010, registered Jul 7, 2010 (51 days) · Other
- U•••••••• S••••••••• I••• to Q•••••• A•••• M••••••••• I•••left Jun 16, 2006, registered Nov 20, 2006 (157 days) · corporate re-registration, not a move
- A• G• E•••••• • S•••• I••• to U•••••••• S••••••••• I•••left Apr 15, 2004, registered Aug 5, 2005 (477 days) · Other
- S••••••• W••••• C•••• I••• to A• G• E•••••• • S•••• I•••left Dec 31, 2003, registered Jun 12, 2003 (-202 days) · Other
- F•• S••••••••• C••••••••• to S••••••• W••••• C•••• I•••left Jun 19, 2003, registered Mar 26, 2003 (-85 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