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.
E••••• E••••••• B••••••
- M•••• C••••••• A••••••• S•••••• BD affiliated currentsince Sep 3, 2014 · Palm Beach Gardens, Fl
- Q•••••• A•••• M••••••••• I••• formerJan 26, 2009 to Sep 4, 2014 · Minneapolis, Mn
- M•• I•••••••• S•••••••• L•• BD affiliatedMay 7, 2008 to Feb 3, 2009 · Atlanta, Ga
- Q•••••• A•••• M••••••••• I••• to M•••• C••••••• A••••••• S••••••left Sep 4, 2014, registered Sep 3, 2014 (-1 days) · Other
- M•• I•••••••• S•••••••• L•• to Q•••••• A•••• M••••••••• I•••left Feb 3, 2009, registered Jan 26, 2009 (-8 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