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•••••••• C••••••
- E•• W••••• M••••••••• state registered currentsince Apr 17, 2015 · Clarkdale, Az
- A•••••••• C•••••• M••••••••• independent RIAFeb 3, 2012 to Oct 10, 2013 · Cottonwood, Az
- P•• S••••••••• L•• formerAug 7, 2006 to Nov 9, 2011 · San Jose, Ca
- A•••••••• C•••••• M••••••••• to E•• W••••• M•••••••••left Oct 10, 2013, registered Apr 17, 2015 (554 days) · Other
- P•• S••••••••• L•• to A•••••••• C•••••• M•••••••••left Nov 9, 2011, registered Feb 3, 2012 (86 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
- STATE REGISTEREDderived
- Years in industry
- 22derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address