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•••• J• H•••
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouse currentsince Dec 13, 2010 · Jacksonville, Fl
- M••••• S•••••• wirehouseSep 18, 2009 to Oct 11, 2010 · Jacksonville, Fl
- E•••••• C•••••• M••••••••• L•• formerApr 16, 2009 to Sep 4, 2009 · Arlington, Va
- W•••• F•••• A••••••• wirehouseMay 21, 2004 to Apr 25, 2005 · Atlanta, Ga
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseJun 25, 2003 to Apr 30, 2004 · Daytona Beach, Fl
- M••••• S•••••• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••left Oct 11, 2010, registered Dec 13, 2010 (63 days) · Wirehouse to wirehouse
- E•••••• C•••••• M••••••••• L•• to M••••• S••••••left Sep 4, 2009, registered Sep 18, 2009 (14 days) · Other
- W•••• F•••• A••••••• to E•••••• C•••••• M••••••••• L••left Apr 25, 2005, registered Apr 16, 2009 (1452 days) · Other
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to W•••• F•••• A•••••••left Apr 30, 2004, registered May 21, 2004 (21 days) · Wirehouse to wirehouse
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
- 23derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address