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••••• J•••• national BD currentsince Aug 5, 2019 · Anchorage, Ak
- M•••• C••••••• A••••••• S•••••• BD affiliatedSep 28, 2017 to Aug 5, 2019 · Wasilla, Ak
- A••••••••• F•••••••• S•••••••• L•• national BDApr 11, 2014 to Sep 1, 2017 · Anchorage, Ak
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseNov 3, 2011 to Apr 14, 2014 · Anchorage, Ak
- M•••• C••••••• A••••••• S•••••• to E••••• J••••left Aug 5, 2019, registered Aug 5, 2019 (0 days) · Affiliated broker-dealer or bank to another
- A••••••••• F•••••••• S•••••••• L•• to M•••• C••••••• A••••••• S••••••left Sep 1, 2017, registered Sep 28, 2017 (27 days) · Other
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to A••••••••• F•••••••• S•••••••• L••left Apr 14, 2014, registered Apr 11, 2014 (-3 days) · Wirehouse to affiliated broker-dealer or bank
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
- National broker-dealer RIAderived
- Years in industry
- 21derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address