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•••••• R••••• F•••••••••
- C••••• I••••••••• A••••••• L•• BD affiliated currentsince Mar 21, 2024 · Overland Park, Ks
- B•••••• F••••• • C•••••• F•••••••• S•••••••• I••• BD affiliatedJun 4, 2008 to Nov 26, 2012 · Cedar Rapids, Ia
- H••• S••••••••• •••• I••• BD affiliatedJun 15, 2006 to Dec 31, 2006 · Bronxville, Ny
- C•••• I••••••••• S••••••• C•••• formerJan 14, 2004 to Feb 1, 2006 · Bronx, Ny
- B•••••• F••••• • C•••••• F•••••••• S•••••••• I••• to C••••• I••••••••• A••••••• L••left Nov 26, 2012, registered Mar 21, 2024 (4133 days) · Other
- H••• S••••••••• •••• I••• to B•••••• F••••• • C•••••• F•••••••• S•••••••• I•••left Dec 31, 2006, registered Jun 4, 2008 (521 days) · Other
- C•••• I••••••••• S••••••• C•••• to H••• S••••••••• •••• I•••left Feb 1, 2006, registered Jun 15, 2006 (134 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
- Broker-dealer affiliated wealth managerderived
- Years in industry
- 23derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address