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.
L••• J••• M•••••
- L•• F•••••••• L•• BD affiliated currentsince May 29, 2018 · Denver, Co
- M•• F•••••••• S•••••••• I••• formerDec 19, 2008 to Jul 21, 2010 · Buffalo Grove, Il
- I••••••••• C•••••• O• A••••••• I••• formerSep 25, 2006 to Dec 8, 2008 · Fargo, Nd
- M•• F•••••••• S•••••••• I••• to L•• F•••••••• L••left Jul 21, 2010, registered May 29, 2018 (2869 days) · Other
- I••••••••• C•••••• O• A••••••• I••• to M•• F•••••••• S•••••••• I•••left Dec 8, 2008, registered Dec 19, 2008 (11 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
- 21derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address