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••• D• T••••
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouse currentsince Aug 17, 2011 · Hunt Valley, Md
- L•• F•••••••• L•• BD affiliatedSep 4, 2008 to Aug 18, 2011 · Atlanta, Ga
- M••••• S•••••• • C•• L•• unclassifiedMay 23, 2008 to Aug 13, 2008 · Atlanta, Ga
- C••••••• F•••••••• A••••••• formerMar 13, 2007 to Apr 23, 2008 · Raleigh, Nc
- L•• F•••••••• L•• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••left Aug 18, 2011, registered Aug 17, 2011 (-1 days) · Other
- M••••• S•••••• • C•• L•• to L•• F•••••••• L••left Aug 13, 2008, registered Sep 4, 2008 (22 days) · Other
- C••••••• F•••••••• A••••••• to M••••• S•••••• • C•• L••left Apr 23, 2008, registered May 23, 2008 (30 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
- 19derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address