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.
A••••• J•••• A•••• H•••
- J•••••• F•••••••• M••••••••• L•• state registered currentsince Jul 20, 2010 · Bowling Green, Ky
- R•••••• J•••• F•••••••• S••••••• A•••••••• I•• BD affiliatedJun 30, 2009 to Mar 8, 2010 · Bowling Green, Ky
- P••••••• F•••••••• S•••••••• I••• BD affiliatedSep 6, 2007 to Jun 30, 2009 · Glasgow, Ky
- U•••• F•••••••• S••••••• G••••• I••• unclassifiedJan 25, 2007 to Jul 20, 2007 · Jonesboro, Ar
- W•••• F•••• A••••••• wirehouseMay 24, 2004 to Jan 5, 2007 · Bowling Green, Ky
- A••••••••• F•••••••• S•••••••• L•• national BDApr 7, 2004 to May 10, 2004 · Franklin, Tn
- R•••••• J•••• F•••••••• S••••••• A•••••••• I•• to J•••••• F•••••••• M••••••••• L••left Mar 8, 2010, registered Jul 20, 2010 (134 days) · Other
- P••••••• F•••••••• S•••••••• I••• to R•••••• J•••• F•••••••• S••••••• A•••••••• I••left Jun 30, 2009, registered Jun 30, 2009 (0 days) · Other
- U•••• F•••••••• S••••••• G••••• I••• to P••••••• F•••••••• S•••••••• I•••left Jul 20, 2007, registered Sep 6, 2007 (48 days) · Other
- W•••• F•••• A••••••• to U•••• F•••••••• S••••••• G••••• I•••left Jan 5, 2007, registered Jan 25, 2007 (20 days) · Other
- A••••••••• F•••••••• S•••••••• L•• to W•••• F•••• A•••••••left May 10, 2004, registered May 24, 2004 (14 days) · Affiliated broker-dealer or bank to wirehouse
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
- 22derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address