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.
B••••••• W••••• K••••
- A••••• A•• P••••••• S••••••• BD affiliated currentsince Aug 27, 2018 · Seattle, Wa
- N••••••• P••••••• C••••••••• •••• O• A••••••• I• F• • N•• formerMay 19, 2015 to May 6, 2016 · Great Neck, Ny
- C••••• C••••••• L•• formerJan 27, 2011 to Mar 4, 2015 · Franklin, Tn
- P•••••••• S••••••••• I••• BD affiliatedApr 4, 2008 to Jun 18, 2009 · Brentwood, Tn
- A••••••••• F•••••••• S•••••••• L•• national BDJun 1, 2005 to Nov 3, 2006 · Franklin, Tn
- N••••••• P••••••• C••••••••• •••• O• A••••••• I• F• • N•• to A••••• A•• P••••••• S•••••••left May 6, 2016, registered Aug 27, 2018 (843 days) · Other
- C••••• C••••••• L•• to N••••••• P••••••• C••••••••• •••• O• A••••••• I• F• • N••left Mar 4, 2015, registered May 19, 2015 (76 days) · channel change inside one enterprise, not a move
- P•••••••• S••••••••• I••• to C••••• C••••••• L••left Jun 18, 2009, registered Jan 27, 2011 (588 days) · Other
- A••••••••• F•••••••• S•••••••• L•• to P•••••••• S••••••••• I•••left Nov 3, 2006, registered Apr 4, 2008 (518 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