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•••• C•••••• E•••••••••
- A••••••••• F•••••••• S•••••••• L•• national BD currentsince Apr 27, 2011 · Toledo, Oh
- V••• F•••••••• P•••••••• L•• formerSep 7, 2005 to Dec 8, 2010 · Holland, Oh
- A••••••••• A•••••• S•••••••• I••• unclassifiedJun 30, 2003 to Sep 9, 2005 · Toledo, Oh
- V••• F•••••••• P•••••••• L•• to A••••••••• F•••••••• S•••••••• L••left Dec 8, 2010, registered Apr 27, 2011 (140 days) · Other
- A••••••••• A•••••• S•••••••• I••• to V••• F•••••••• P•••••••• L••left Sep 9, 2005, registered Sep 7, 2005 (-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
- National broker-dealer RIAderived
- Years in industry
- 25derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address