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.
D•••• S•••• R••••••
- I••••••••• F•••••••• P••••••• BD affiliated currentsince Feb 16, 2018 · Denver, Nc
- A••••••• P••••••••• A•••••••• I•• formerOct 18, 2005 to Jun 30, 2011 · Holbrook, Ny
- N•••••• F•••••••• G••••• I••• i••••••••• wealthApr 24, 2001 to Aug 1, 2002 · Tampa, Fl
- A••••••• P••••••••• A•••••••• I•• to I••••••••• F•••••••• P•••••••left Jun 30, 2011, registered Feb 16, 2018 (2423 days) · Other
- N•••••• F•••••••• G••••• I••• to A••••••• P••••••••• A•••••••• I••left Aug 1, 2002, registered Oct 18, 2005 (1174 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