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.
R••••• A•••• D••••••••
- D•••• W••••• M••••••••• L•• state registered currentsince Dec 18, 2015 · Fernandina Beach, Fl
- R•• C•••••• M••••••••• L•• independent RIAJul 26, 2012 to Nov 2, 2015 · Corona Del Mar, Ca
- G•••••••• I••••••••• M••••••••• I••• formerJan 28, 2005 to Jan 8, 2013
- G•••••••• I••••••••• M••••••••• I••• formerApr 27, 2000 to Dec 31, 2004 · G••••••••, Ct
- R•• C•••••• M••••••••• L•• to D•••• W••••• M••••••••• L••left Nov 2, 2015, registered Dec 18, 2015 (46 days) · Other
- G•••••••• I••••••••• M••••••••• I••• to R•• C•••••• M••••••••• L••left Jan 8, 2013, registered Jul 26, 2012 (-166 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
- STATE REGISTEREDderived
- Years in industry
- 26derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address