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.
M•••••• R•••• N•••••
- C•••••••• I••••••••• R••••••• A•••••••• I••• BD affiliated currentsince Nov 26, 2021 · River Vale, Nj
- M••••• S•••••• wirehouseSep 6, 2019 to Mar 9, 2020 · Lexington, Ky
- F•••• A••••• A••••••• S•••••••• I••• formerJul 2, 2012 to Oct 30, 2017 · Muncie, In
- F•••• A••••• S••••••••• I••• formerNov 16, 2010 to Jul 2, 2012 · San Diego, Ca
- W•••• F•••• A••••••• wirehouseAug 29, 2008 to May 4, 2009 · Denton, Tx
- T• R••• P•••• A••••••• S•••••••• I••• BD affiliatedAug 8, 2006 to Oct 25, 2007 · Owings Mills, Md
- A• G• E•••••• • S•••• I••• unclassifiedNov 2, 2004 to Jul 20, 2006 · Muncie, In
- M••••• S•••••• to C•••••••• I••••••••• R••••••• A•••••••• I•••left Mar 9, 2020, registered Nov 26, 2021 (627 days) · Wirehouse to affiliated broker-dealer or bank
- F•••• A••••• A••••••• S•••••••• I••• to M••••• S••••••left Oct 30, 2017, registered Sep 6, 2019 (676 days) · Other
- F•••• A••••• S••••••••• I••• to F•••• A••••• A••••••• S•••••••• I•••left Jul 2, 2012, registered Jul 2, 2012 (0 days) · corporate re-registration, not a move
- W•••• F•••• A••••••• to F•••• A••••• S••••••••• I•••left May 4, 2009, registered Nov 16, 2010 (561 days) · Other
- T• R••• P•••• A••••••• S•••••••• I••• to W•••• F•••• A•••••••left Oct 25, 2007, registered Aug 29, 2008 (309 days) · Other
- A• G• E•••••• • S•••• I••• to T• R••• P•••• A••••••• S•••••••• I•••left Jul 20, 2006, registered Aug 8, 2006 (19 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
- Broker-dealer affiliated wealth managerderived
- Years in industry
- 21derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address