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.
S•••• L• A•••••••••
- W•••• F•••• A••••••• wirehouse currentsince Nov 5, 2014 · Las Vegas, Nv
- A••••••••• F•••••••• S•••••••• L•• national BDApr 11, 2012 to Sep 4, 2013 · Las Vegas, Nv
- W•••••• S••••••••• I••• BD affiliatedJun 7, 2010 to Apr 3, 2012 · Las Vegas, Nv
- M••••• S•••••• wirehouseNov 20, 2009 to Jun 24, 2010 · Las Vegas, Nv
- A••••••••• F•••••••• S•••••••• L•• to W•••• F•••• A•••••••left Sep 4, 2013, registered Nov 5, 2014 (427 days) · Affiliated broker-dealer or bank to wirehouse
- W•••••• S••••••••• I••• to A••••••••• F•••••••• S•••••••• L••left Apr 3, 2012, registered Apr 11, 2012 (8 days) · Other
- M••••• S•••••• to W•••••• S••••••••• I•••left Jun 24, 2010, registered Jun 7, 2010 (-17 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
- 17derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address