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.
O••• G•••
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouse currentsince Jul 21, 2014 · Cincinnati, Oh
- E••••• J•••• national BDNov 12, 2012 to Mar 5, 2014 · St Louis, Mo
- P•• M•••••• A•••••• S••••••••• I••• formerNov 29, 2011 to Sep 12, 2012 · Houston, Tx
- S••••••• F•••••••• S•••••••• I••• formerJul 2, 2009 to Dec 31, 2010 · Bellevue, Wa
- P••••••••• A••••••• S••••••• L•• formerJan 30, 2008 to Jun 10, 2008 · Santa Barbara, Ca
- E•••••••• A•••••••• L•• national BDNov 21, 2000 to Sep 9, 2003 · Chicago, Il
- E••••• J•••• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••left Mar 5, 2014, registered Jul 21, 2014 (138 days) · Affiliated broker-dealer or bank to wirehouse
- P•• M•••••• A•••••• S••••••••• I••• to E••••• J••••left Sep 12, 2012, registered Nov 12, 2012 (61 days) · Other
- S••••••• F•••••••• S•••••••• I••• to P•• M•••••• A•••••• S••••••••• I•••left Dec 31, 2010, registered Nov 29, 2011 (333 days) · Other
- P••••••••• A••••••• S••••••• L•• to S••••••• F•••••••• S•••••••• I•••left Jun 10, 2008, registered Jul 2, 2009 (387 days) · Other
- E•••••••• A•••••••• L•• to P••••••••• A••••••• S••••••• L••left Sep 9, 2003, registered Jan 30, 2008 (1604 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
- 26derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address