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.
B•••• P•••••• D•••
- U••••• B•••••••• S••••••• I•• BD affiliated currentsince Jan 25, 2016 · Morgantown, Wv
- W••••••• S••••••••• I••• BD affiliatedDec 15, 2009 to Jan 11, 2016 · Morgantown, Wv
- C•••• I••••••••• S••••••• C•••• formerJul 6, 2005 to Nov 13, 2009 · Benton Harbor, Mi
- B••• O•• S••••••••• C••••••••• unclassifiedMar 21, 2005 to Jul 6, 2005 · Grand Rapids, Mi
- B••• I••••••••• S•••••••• I••• formerFeb 14, 2003 to Jan 8, 2004 · Charlotte, Nc
- W••••••• S••••••••• I••• to U••••• B•••••••• S••••••• I••left Jan 11, 2016, registered Jan 25, 2016 (14 days) · Other
- C•••• I••••••••• S••••••• C•••• to W••••••• S••••••••• I•••left Nov 13, 2009, registered Dec 15, 2009 (32 days) · Other
- B••• O•• S••••••••• C••••••••• to C•••• I••••••••• S••••••• C••••left Jul 6, 2005, registered Jul 6, 2005 (0 days) · corporate re-registration, not a move
- B••• I••••••••• S•••••••• I••• to B••• O•• S••••••••• C•••••••••left Jan 8, 2004, registered Mar 21, 2005 (438 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
- Broker-dealer affiliated wealth managerderived
- Years in industry
- 26derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address