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.
T••••• W••••
- C•••••••• I••••••••• R••••••• A•••••••• I••• BD affiliated currentsince Apr 21, 2014 · North Bethesda, Md
- F•••••• A••••••• S•••••••• L•• formerSep 11, 2013 to Apr 23, 2014 · St. Louis, Mo
- M•• I•••••••• S•••••••• L•• BD affiliatedFeb 11, 2005 to Sep 12, 2013 · Bethesda, Md
- F•••••• A••••••• S•••••••• L•• to C•••••••• I••••••••• R••••••• A•••••••• I•••left Apr 23, 2014, registered Apr 21, 2014 (-2 days) · Other
- M•• I•••••••• S•••••••• L•• to F•••••• A••••••• S•••••••• L••left Sep 12, 2013, registered Sep 11, 2013 (-1 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
- 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