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.
R••••••• L•• M•••••
- W•••• F•••• A••••••• wirehouse currentsince Feb 4, 2013 · Sioux Falls, Sd
- C••••• I••••••••• S••••••• L•• formerJul 18, 2011 to Jan 8, 2013 · Sioux Falls, Sd
- S••••••• C••••••• L•• unclassifiedOct 7, 2010 to Jun 28, 2011 · Sioux Falls, Sd
- W•••• F•••• I••••••••• L•• unclassifiedDec 2, 2005 to Apr 19, 2010 · Sioux Falls, Sd
- C••••• I••••••••• S••••••• L•• to W•••• F•••• A•••••••left Jan 8, 2013, registered Feb 4, 2013 (27 days) · Other
- S••••••• C••••••• L•• to C••••• I••••••••• S••••••• L••left Jun 28, 2011, registered Jul 18, 2011 (20 days) · Other
- W•••• F•••• I••••••••• L•• to S••••••• C••••••• L••left Apr 19, 2010, registered Oct 7, 2010 (171 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
- Wirehousederived
- Years in industry
- 20derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address