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.
C••••••••• E••••• E••••••
- T•• F••••• O••••• P••••••• independent RIA currentsince Dec 21, 2011 · Phoenix, Az
- T•• W••••• P••••••• independent RIA currentsince Feb 17, 2010 · Maumee, Oh
- O•• T• O••• L•• formerNov 15, 2016 to Mar 29, 2017 · Maumee, Oh
- L•• F•••••••• L•• BD affiliatedMar 19, 2008 to Jul 7, 2009 · St. Louis, Ma
- O•• T• O••• L•• to no registered destinationleft Mar 29, 2017 · Departure, no registered destination
- L•• F•••••••• L•• to T•• W••••• P•••••••left Jul 7, 2009, registered Feb 17, 2010 (225 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
- Independent wealth managerderived
- Years in industry
- 21derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address