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.
R•••• W••••••
- W•••• F•••• A••••••• wirehouse currentsince Sep 17, 2019 · Scottsdale, Az
- P•• M•••••• A•••••• S••••••••• I••• formerOct 19, 2015 to Aug 27, 2019 · Scottsdale, Az
- W•••• F•••• A••••••• wirehouseFeb 27, 2014 to Aug 11, 2015 · Scottsdale, Az
- B•• H••••• F•••••••• A•••••••• I•• formerNov 7, 2013 to Feb 13, 2014 · Scottsdale, Az
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseFeb 3, 2012 to Apr 17, 2012 · Philadelphia, Pa
- P•• M•••••• A•••••• S••••••••• I••• to W•••• F•••• A•••••••left Aug 27, 2019, registered Sep 17, 2019 (21 days) · Affiliated broker-dealer or bank to wirehouse
- W•••• F•••• A••••••• to P•• M•••••• A•••••• S••••••••• I•••left Aug 11, 2015, registered Oct 19, 2015 (69 days) · Other · moved with a team
- B•• H••••• F•••••••• A•••••••• I•• to W•••• F•••• A•••••••left Feb 13, 2014, registered Feb 27, 2014 (14 days) · Other
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to B•• H••••• F•••••••• A•••••••• I••left Apr 17, 2012, registered Nov 7, 2013 (569 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