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.
C••••••• J••• F••••
- O•••• I••••••••• I••• BD affiliated currentsince Dec 13, 2018 · Clarksville, Tn
- C••• F•••••••• S•••••••• L••• formerMay 25, 2018 to Dec 14, 2018 · Hopkinsville, Ky
- O•••• I••••••••• I••• BD affiliatedOct 18, 2011 to May 7, 2018 · Sandy Lake, Pa
- U•••• F•••••••• S••••••• G••••• I••• unclassifiedMay 20, 2008 to Oct 20, 2011 · Cochranton, Pa
- C••• F•••••••• S•••••••• L••• to O•••• I••••••••• I•••left Dec 14, 2018, registered Dec 13, 2018 (-1 days) · Affiliated broker-dealer or bank to another
- O•••• I••••••••• I••• to C••• F•••••••• S•••••••• L•••left May 7, 2018, registered May 25, 2018 (18 days) · Affiliated broker-dealer or bank to another
- U•••• F•••••••• S••••••• G••••• I••• to O•••• I••••••••• I•••left Oct 20, 2011, registered Oct 18, 2011 (-2 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