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.
L••• E••••• P•••••
- B••••••• F• E•••••• • C••••••• I••••••••• BD affiliated currentsince Oct 13, 2016 · St. Louis, Mo
- W•••••• S••••••••• I••• BD affiliatedDec 1, 2009 to Oct 14, 2016 · Concord, Nh
- W•••• F•••• A••••••• wirehouseJan 1, 2008 to Nov 10, 2009 · Concord, Nh
- A• G• E•••••• • S•••• I••• unclassifiedNov 23, 2005 to Jan 1, 2008 · Concord, Nh
- W•••••• S••••••••• I••• to B••••••• F• E•••••• • C••••••• I•••••••••left Oct 14, 2016, registered Oct 13, 2016 (-1 days) · Other · moved with a team
- W•••• F•••• A••••••• to W•••••• S••••••••• I•••left Nov 10, 2009, registered Dec 1, 2009 (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
- 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