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••• P•••••
- K••••• A••••••• S•••••••• L•• BD affiliated currentsince Apr 19, 2016 · Austin, Tx
- D•••••••• F•••••••• S••••••• I•• formerMay 8, 2012 to May 9, 2012 · Waltham, Ma
- R•••••• J•••• F•••••••• S••••••• A•••••••• I•• BD affiliatedAug 13, 2009 to Jun 17, 2010 · St. Petersburg, Fl
- R•••••• J•••• F•••••••• S•••••••• I••• unclassifiedMar 1, 2006 to Oct 10, 2009 · St. Petersburg, Fl
- D•••••••• F•••••••• S••••••• I•• to K••••• A••••••• S•••••••• L••left May 9, 2012, registered Apr 19, 2016 (1441 days) · Other
- R•••••• J•••• F•••••••• S••••••• A•••••••• I•• to D•••••••• F•••••••• S••••••• I••left Jun 17, 2010, registered May 8, 2012 (691 days) · Other
- R•••••• J•••• F•••••••• S•••••••• I••• to R•••••• J•••• F•••••••• S••••••• A•••••••• I••left Oct 10, 2009, registered Aug 13, 2009 (-58 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
- 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