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.
J••••••• A•• L•••••••
- U•• F•••••••• S••••••• I••• wirehouse currentsince Jul 31, 2020 · Scottsdale, Az
- B•• H••••• F•••••••• A•••••••• I•• formerAug 1, 2012 to Aug 6, 2020 · Scottsdale, Az
- M•• F•••••••• A•••••••• I••• formerApr 26, 2012 to Aug 1, 2012 · Scottsdale, Az
- M•• I••••••••• M••••••••• C•••• formerOct 21, 2010 to Apr 19, 2012 · Milwaukee, Wi
- M••••• S•••••• wirehouseJun 1, 2009 to Sep 29, 2010 · Mystic, Ct
- M••••• S•••••• • C•• L•• unclassifiedApr 2, 2007 to Jun 1, 2009 · Mystic, Ct
- M••••• S•••••• D• I••• unclassifiedMar 3, 2005 to Apr 2, 2007 · Mystic, Ct
- B•• H••••• F•••••••• A•••••••• I•• to U•• F•••••••• S••••••• I•••left Aug 6, 2020, registered Jul 31, 2020 (-6 days) · Affiliated broker-dealer or bank to wirehouse
- M•• F•••••••• A•••••••• I••• to B•• H••••• F•••••••• A•••••••• I••left Aug 1, 2012, registered Aug 1, 2012 (0 days) · channel change inside one enterprise, not a move
- M•• I••••••••• M••••••••• C•••• to M•• F•••••••• A•••••••• I•••left Apr 19, 2012, registered Apr 26, 2012 (7 days) · channel change inside one enterprise, not a move
- M••••• S•••••• to M•• I••••••••• M••••••••• C••••left Sep 29, 2010, registered Oct 21, 2010 (22 days) · Other
- M••••• S•••••• • C•• L•• to M••••• S••••••left Jun 1, 2009, registered Jun 1, 2009 (0 days) · corporate re-registration, not a move
- M••••• S•••••• D• I••• to M••••• S•••••• • C•• L••left Apr 2, 2007, registered Apr 2, 2007 (0 days) · corporate re-registration, not a move
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
- 22derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address