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.
J••• D•••• R••••••
- W••••••••• R••••••••• A••••••• institutional currentsince Aug 13, 2018 · Chicago, Il
- S••••• W••••• M••••••••• independent RIASep 8, 2014 to Aug 7, 2017 · Rockford, Il
- S•••••••• I••••••••• N•••• I••• state registeredMay 17, 2013 to Apr 2, 2014 · Charlotte, Nc
- C••••• G••••• F•••••••• A•••••••• L•• independent RIAApr 15, 2009 to May 23, 2011 · Asheville, Nc
- V•••••• A•••••••• I••• BD affiliatedAug 31, 2004 to Jun 2, 2011 · Asheville, Nc
- S••••• W••••• M••••••••• to W••••••••• R••••••••• A•••••••left Aug 7, 2017, registered Aug 13, 2018 (371 days) · Other
- S•••••••• I••••••••• N•••• I••• to S••••• W••••• M•••••••••left Apr 2, 2014, registered Sep 8, 2014 (159 days) · Other
- V•••••• A•••••••• I••• to C••••• G••••• F•••••••• A•••••••• L••left Jun 2, 2011, registered Apr 15, 2009 (-778 days) · Other
- C••••• G••••• F•••••••• A•••••••• L•• to S•••••••• I••••••••• N•••• I•••left May 23, 2011, registered May 17, 2013 (725 days) · RIA to a state-registered adviser
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
- Institutional managerderived
- Years in industry
- 22derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address