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•••••••• D•••••• C•••••••
- W•••• F•••• A••••••• wirehouse currentsince Nov 1, 2011 · Jacksonville, Fl
- M••••• K••••• • C••••••• L•• formerJun 3, 2008 to Oct 25, 2011 · Jacksonville, Fl
- C•••••••• F•••••••• G•••• A••••••• formerSep 19, 2006 to Feb 28, 2007 · Birmingham, Al
- A•••••• I••••••••• M••••••••• C•••••• L•• unclassifiedAug 5, 2005 to Aug 30, 2006 · Birmingham, Al
- M••••• K••••• • C••••••• L•• to W•••• F•••• A•••••••left Oct 25, 2011, registered Nov 1, 2011 (7 days) · Other
- C•••••••• F•••••••• G•••• A••••••• to M••••• K••••• • C••••••• L••left Feb 28, 2007, registered Jun 3, 2008 (461 days) · Other
- A•••••• I••••••••• M••••••••• C•••••• L•• to C•••••••• F•••••••• G•••• A•••••••left Aug 30, 2006, registered Sep 19, 2006 (20 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
- Wirehousederived
- Years in industry
- 21derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address