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.
E•••••••• A•• G•••••
- C•••••••• F••••••••• I••• BD affiliated currentsince Sep 19, 2017 · Henderson, Ky
- H• B•••• I••• formerMay 2, 2011 to Sep 22, 2017 · Rockville, Md
- M••••• S•••••• wirehouseJun 1, 2009 to Dec 17, 2010 · Evansville, In
- C•••••••• G••••• M•••••• I••• BD affiliatedDec 19, 2005 to Jun 1, 2009 · Evansville, In
- H• B•••• I••• to C•••••••• F••••••••• I•••left Sep 22, 2017, registered Sep 19, 2017 (-3 days) · Other · moved with a team
- M••••• S•••••• to H• B•••• I•••left Dec 17, 2010, registered May 2, 2011 (136 days) · Other
- C•••••••• G••••• M•••••• I••• to M••••• S••••••left Jun 1, 2009, registered Jun 1, 2009 (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
- 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