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•••• N••••••• D••••
- C•••••• S••••• • C••• I••• national BD currentsince Dec 12, 2012 · Appleton, Wi
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseNov 7, 2005 to Nov 23, 2012 · Vero Beach, Fl
- N•••• C•••••• M••••••••• I••• formerNov 20, 2003 to May 12, 2005 · Boca Raton, Fl
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to C•••••• S••••• • C••• I•••left Nov 23, 2012, registered Dec 12, 2012 (19 days) · Wirehouse to affiliated broker-dealer or bank
- N•••• C•••••• M••••••••• I••• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••left May 12, 2005, registered Nov 7, 2005 (179 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
- National broker-dealer RIAderived
- Years in industry
- 24derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address