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•••••• W•••••• S••••••
- P••••••• F•••••••• S•••••••• I••• BD affiliated currentsince Jan 11, 2016 · Dallas, Tx
- C•••••• G••••••• W••••• M••••••••• L•• formerNov 20, 2008 to Jan 12, 2016 · Miami, Fl
- M•• I•••••••• S•••••••• L•• BD affiliatedMar 20, 2006 to Nov 7, 2008 · Mount Pleasant, Sc
- C•••••• G••••••• W••••• M••••••••• L•• to P••••••• F•••••••• S•••••••• I•••left Jan 12, 2016, registered Jan 11, 2016 (-1 days) · Other
- M•• I•••••••• S•••••••• L•• to C•••••• G••••••• W••••• M••••••••• L••left Nov 7, 2008, registered Nov 20, 2008 (13 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