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.
A•••• S•••• T•••••••
- W•••• F•••• A••••••• wirehouse currentsince Jan 3, 2011 · Greenville, Sc
- W•••• F•••• I••••••••• L•• unclassifiedAug 25, 2009 to Jan 3, 2011 · Walnut Creek, Ca
- C••••• I••••••••• S••••••• L•• formerSep 29, 2008 to Aug 24, 2009 · Stockton, Ca
- W•••••• • R••• formerAug 20, 2002 to Jan 27, 2004 · Lodi, Ca
- W•••• F•••• I••••••••• L•• to W•••• F•••• A•••••••left Jan 3, 2011, registered Jan 3, 2011 (0 days) · corporate re-registration, not a move
- C••••• I••••••••• S••••••• L•• to W•••• F•••• I••••••••• L••left Aug 24, 2009, registered Aug 25, 2009 (1 days) · Other
- W•••••• • R••• to C••••• I••••••••• S••••••• L••left Jan 27, 2004, registered Sep 29, 2008 (1707 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
- Wirehousederived
- Years in industry
- 24derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address