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.
A•••••• F•••••••• H•••••
- M•••• C••••••• A••••••• S•••••• BD affiliated currentsince Oct 24, 2016 · Palm Beach Gardens, Fl
- I•••••••• C•••••• A••••••• formerAug 5, 2013 to Sep 6, 2016 · Whiting, In
- N••• F•••••••• G••••• I••• formerMar 23, 2007 to Aug 5, 2013 · Houston, Tx
- C••••• I••••••••• S••••••• L•• formerMay 3, 2005 to Mar 19, 2007 · Whiting, In
- I•••••••• C•••••• A••••••• to M•••• C••••••• A••••••• S••••••left Sep 6, 2016, registered Oct 24, 2016 (48 days) · Other
- N••• F•••••••• G••••• I••• to I•••••••• C•••••• A•••••••left Aug 5, 2013, registered Aug 5, 2013 (0 days) · Other
- C••••• I••••••••• S••••••• L•• to N••• F•••••••• G••••• I•••left Mar 19, 2007, registered Mar 23, 2007 (4 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
- 25derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address