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.
G••• R••••• W••••••
- S•••••• N••••••• • C••••••• I••••••••• national BD currentsince Mar 13, 2014 · Boise, Id
- W•••••• S••••••••• I••• BD affiliatedAug 10, 2007 to Mar 13, 2014 · Boise, Id
- D••• D••••••• • C•• independent RIAJul 18, 2003 to Aug 13, 2007 · Boise, Id
- W•••• F•••• I••••••••• L•• unclassifiedJun 28, 2002 to Aug 7, 2003 · Boise, Id
- W•••••• S••••••••• I••• to S•••••• N••••••• • C••••••• I•••••••••left Mar 13, 2014, registered Mar 13, 2014 (0 days) · Other
- D••• D••••••• • C•• to W•••••• S••••••••• I•••left Aug 13, 2007, registered Aug 10, 2007 (-3 days) · Other
- W•••• F•••• I••••••••• L•• to D••• D••••••• • C••left Aug 7, 2003, registered Jul 18, 2003 (-20 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