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.
S••••• S••••• H•••••
- W•••• F•••• A••••••• wirehouse currentsince Jul 22, 2013 · Tallahassee, Fl
- B••• I••••••••• S•••••••• I••• formerDec 10, 2012 to Jul 1, 2013 · Charlotte, Nc
- W•••• F•••• A••••••• wirehouseJan 3, 2011 to Jul 24, 2012 · San Francisco, Ca
- W•••• F•••• I••••••••• L•• unclassifiedMay 4, 2009 to Jan 3, 2011 · San Francisco, Ca
- B••• O• A•••••• I••••••••• S•••••••• I••• unclassifiedNov 22, 2006 to Apr 29, 2009 · San Francisco, Ca
- B••• I••••••••• S•••••••• I••• to W•••• F•••• A•••••••left Jul 1, 2013, registered Jul 22, 2013 (21 days) · Other
- W•••• F•••• A••••••• to B••• I••••••••• S•••••••• I•••left Jul 24, 2012, registered Dec 10, 2012 (139 days) · Wirehouse to a newly registered adviser (no RAUM reported yet)
- W•••• F•••• I••••••••• L•• to W•••• F•••• A•••••••left Jan 3, 2011, registered Jan 3, 2011 (0 days) · corporate re-registration, not a move
- B••• O• A•••••• I••••••••• S•••••••• I••• to W•••• F•••• I••••••••• L••left Apr 29, 2009, registered May 4, 2009 (5 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
- Wirehousederived
- Years in industry
- 20derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address