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•••••• D•••• P•••••
- C••••••• F•••••••• D••••••• I••• BD affiliated currentsince Dec 7, 2017 · Kokomo, In
- G• A• R••••• • C•••••• BD affiliatedMay 14, 2012 to Dec 11, 2015 · Gainesville, Fl
- C•••••• F•••••••• S•••••••• I••• formerJul 31, 2009 to Dec 15, 2011 · Minot, Nd
- G• A• R••••• • C•••••• to C••••••• F•••••••• D••••••• I•••left Dec 11, 2015, registered Dec 7, 2017 (727 days) · Other
- C•••••• F•••••••• S•••••••• I••• to G• A• R••••• • C••••••left Dec 15, 2011, registered May 14, 2012 (151 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
- 20derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address