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.
F••••• A•• M••••••••
- W•••• F•••• A••••••• wirehouse currentsince Apr 17, 2018 · Beaumont, Tx
- C•••••• O•• A•••••••• L•• formerJan 28, 2015 to Apr 20, 2018 · Seattle, Wa
- C•••••• O•• F•••••••• A••••••• L•• unclassifiedMar 1, 2012 to Jan 28, 2015 · Melville, Ny
- C•••••• O•• A•••••••• L•• to W•••• F•••• A•••••••left Apr 20, 2018, registered Apr 17, 2018 (-3 days) · Affiliated broker-dealer or bank to wirehouse · moved with a team
- C•••••• O•• F•••••••• A••••••• L•• to C•••••• O•• A•••••••• L••left Jan 28, 2015, registered Jan 28, 2015 (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
- Wirehousederived
- Years in industry
- 20derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address