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•••• A• H••••
- B••••••• F• E•••••• • C••••••• I••••••••• BD affiliated currentsince Oct 16, 2020 · St. Louis, Mo
- W•••• F•••• A••••••• wirehouseMar 26, 2015 to Oct 21, 2020 · Morristown, Tn
- J••••• H•••••••• W••• L••••• L•• formerMar 30, 2004 to Mar 30, 2015 · Morristown, Tn
- W•••• F•••• A••••••• to B••••••• F• E•••••• • C••••••• I•••••••••left Oct 21, 2020, registered Oct 16, 2020 (-5 days) · Wirehouse to affiliated broker-dealer or bank · moved with a team
- J••••• H•••••••• W••• L••••• L•• to W•••• F•••• A•••••••left Mar 30, 2015, registered Mar 26, 2015 (-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