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.
C•••• R••••• F••••••
- A••••••• S••••••• N•••••• independent RIA currentsince Sep 17, 2015 · Atlanta, Ga
- O•••• W••••• M••••••••• L•• independent RIAOct 11, 2013 to Feb 24, 2015 · Altoona, Wi
- R•• C•••••• M••••••• L•• national BDFeb 26, 2008 to Oct 24, 2013 · Eau Claire, Wi
- M••••• S•••••• • C•• L•• unclassifiedSep 27, 2007 to Jan 29, 2008 · Bloomington, Mn
- O•••• W••••• M••••••••• L•• to A••••••• S••••••• N••••••left Feb 24, 2015, registered Sep 17, 2015 (205 days) · Other
- R•• C•••••• M••••••• L•• to O•••• W••••• M••••••••• L••left Oct 24, 2013, registered Oct 11, 2013 (-13 days) · Affiliated broker-dealer or bank to a newly registered adviser
- M••••• S•••••• • C•• L•• to R•• C•••••• M••••••• L••left Jan 29, 2008, registered Feb 26, 2008 (28 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
- Independent wealth managerderived
- Years in industry
- 19derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address