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•••• P• T•••••••
- G••••••• W••••• M••••••••• BD affiliated currentsince Feb 26, 2015 · Arden Hills, Mn
- G••••••• A•••••••• L•• independent RIAOct 2, 2014 to Feb 24, 2015 · Hilton Head Island, Sc
- W•• A•••••••• L•• unclassifiedMay 8, 2014 to Oct 16, 2014 · Bluffton, Sc
- M•• F•••••••• S•••••••• I••• formerJul 19, 2006 to Apr 30, 2014 · Hilton Head Island, Sc
- G••••••• A•••••••• L•• to G••••••• W••••• M•••••••••left Feb 24, 2015, registered Feb 26, 2015 (2 days) · Other
- W•• A•••••••• L•• to G••••••• A•••••••• L••left Oct 16, 2014, registered Oct 2, 2014 (-14 days) · Other
- M•• F•••••••• S•••••••• I••• to W•• A•••••••• L••left Apr 30, 2014, registered May 8, 2014 (8 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
- 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