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.
G•••••• P•••••• K•••••••
- C••• I••••••••• A•••••••• I••• independent RIA currentsince May 4, 2010 · Hanover, Md
- I••••••••• A••••••• C••• formerJul 16, 2009 to Apr 6, 2010 · Odenton, Ct
- F•••••••• W••• G•••• formerOct 27, 2008 to Jun 26, 2009 · Northridge, Ca
- F•• S••••••••• C••••••••• formerDec 15, 2004 to Jul 12, 2007 · Oxnard, Ca
- P••••••••• A••••••• S••••••• L•• formerNov 23, 2004 to Dec 6, 2004 · Brentwood, Ca
- E•••••••• A•••••••• L•• national BDAug 26, 2003 to Dec 9, 2004 · Woodland Hills, Ca
- A••••••••• F•••••••• S•••••••• L•• national BDJun 16, 2003 to Jun 20, 2003 · Columbia, Md
- I••••••••• A••••••• C••• to C••• I••••••••• A•••••••• I•••left Apr 6, 2010, registered May 4, 2010 (28 days) · Other
- F•••••••• W••• G•••• to I••••••••• A••••••• C•••left Jun 26, 2009, registered Jul 16, 2009 (20 days) · Other
- F•• S••••••••• C••••••••• to F•••••••• W••• G••••left Jul 12, 2007, registered Oct 27, 2008 (473 days) · Other
- E•••••••• A•••••••• L•• to P••••••••• A••••••• S••••••• L••left Dec 9, 2004, registered Nov 23, 2004 (-16 days) · Other
- P••••••••• A••••••• S••••••• L•• to F•• S••••••••• C•••••••••left Dec 6, 2004, registered Dec 15, 2004 (9 days) · Other
- A••••••••• F•••••••• S•••••••• L•• to E•••••••• A•••••••• L••left Jun 20, 2003, registered Aug 26, 2003 (67 days) · Affiliated broker-dealer or bank to another
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
- 23derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address