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.
B•••• M•••••• A•••••••
- A••••••• W••••• M••••••••• state registered currentsince May 16, 2013 · Cape Girardeau, Mo
- Q•••••• A•••• M••••••••• I••• formerJan 5, 2009 to Apr 25, 2013 · Minneapolis, Mn
- T••••••••• F•••••••• A•••••••• L•• BD affiliatedMay 2, 2007 to Dec 31, 2008 · Cape Girardeau, Mo
- C••••• A•••••• N••••••• L•• formerMay 6, 2002 to May 2, 2007 · Cape Girardeau, Mo
- Q•••••• A•••• M••••••••• I••• to A••••••• W••••• M•••••••••left Apr 25, 2013, registered May 16, 2013 (21 days) · Other
- T••••••••• F•••••••• A•••••••• L•• to Q•••••• A•••• M••••••••• I•••left Dec 31, 2008, registered Jan 5, 2009 (5 days) · Other
- C••••• A•••••• N••••••• L•• to T••••••••• F•••••••• A•••••••• L••left May 2, 2007, registered May 2, 2007 (0 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
- STATE REGISTEREDderived
- Years in industry
- 24derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address