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.
T••••••• Q••••••
- C••••••••• F•••••••• N•••••• national BD currentsince Jan 5, 2015 · Wilmington, De
- I••••• F•••••••• C••••••••• formerOct 30, 2009 to Jan 6, 2015 · New Castle, De
- V••••• F•••• A•••• M••••••••• L•• formerJan 14, 2008 to Mar 19, 2008 · Wilmington, De
- I••••• F•••••••• C••••••••• to C••••••••• F•••••••• N••••••left Jan 6, 2015, registered Jan 5, 2015 (-1 days) · Other · moved with a team
- V••••• F•••• A•••• M••••••••• L•• to I••••• F•••••••• C•••••••••left Mar 19, 2008, registered Oct 30, 2009 (590 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
- National broker-dealer RIAderived
- Years in industry
- 21derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address