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••• J•••••• D•••
- A••••••••• F•••••••• S•••••••• L•• national BD currentsince Mar 17, 2017 · Minneapolis, Mn
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseMay 2, 2011 to Mar 7, 2017 · Fort Mill, Sc
- E•••••••• I••••••••• M••••••••• C• unclassifiedJun 15, 2009 to Dec 10, 2009 · Boston, Ma
- B•••• D••••••••• L•• unclassifiedJan 1, 2003 to Oct 4, 2004 · Charlotte, Nc
- S••••••• BD affiliatedJun 4, 2002 to Jan 1, 2003 · Charlotte , Nc
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to A••••••••• F•••••••• S•••••••• L••left Mar 7, 2017, registered Mar 17, 2017 (10 days) · Wirehouse to affiliated broker-dealer or bank
- E•••••••• I••••••••• M••••••••• C• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••left Dec 10, 2009, registered May 2, 2011 (508 days) · Other
- B•••• D••••••••• L•• to E•••••••• I••••••••• M••••••••• C•left Oct 4, 2004, registered Jun 15, 2009 (1715 days) · Other
- S••••••• to B•••• D••••••••• L••left Jan 1, 2003, registered Jan 1, 2003 (0 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