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.
E•••• G••••• M•••••••
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouse currentsince Sep 28, 2018 · Meridian, Ms
- V••• F•••••••• A•••••••• I••• BD affiliatedJan 4, 2017 to Oct 2, 2018 · Ellicott City, Md
- V••• F•••••••• A•••••••• I••• BD affiliatedAug 15, 2014 to Dec 31, 2016 · Ellicott City, Md
- I••••••••• P••••••••• I••• formerDec 1, 2008 to Aug 8, 2014 · San Antonio, Tx
- W•••• F•••• A••••••• wirehouseJan 1, 2008 to Dec 22, 2008 · Meridian, Ms
- A• G• E•••••• • S•••• I••• unclassifiedNov 26, 2004 to Jan 1, 2008 · Meridian, Ms
- V••• F•••••••• A•••••••• I••• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••left Oct 2, 2018, registered Sep 28, 2018 (-4 days) · Affiliated broker-dealer or bank to wirehouse
- I••••••••• P••••••••• I••• to V••• F•••••••• A•••••••• I•••left Aug 8, 2014, registered Aug 15, 2014 (7 days) · Other
- W•••• F•••• A••••••• to I••••••••• P••••••••• I•••left Dec 22, 2008, registered Dec 1, 2008 (-21 days) · Other
- A• G• E•••••• • S•••• I••• to W•••• F•••• A•••••••left Jan 1, 2008, registered Jan 1, 2008 (0 days) · corporate re-registration, not a move
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