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.
A••• F•••• Z••••
- C•••••• S••••• • C••• I••• national BD currentsince Aug 14, 2018 · Newport Beach, Ca
- F••••••• P••••••• A•• W•••••••• A••••••• formerJul 13, 2018 to Aug 21, 2018 · Boston, Ma
- S•••••••• A••••••• L•• national BDJan 14, 2011 to Jul 13, 2018 · Scottsdale, Az
- U••• F•••••••• P••••••• S••••••• formerMar 12, 2009 to Dec 16, 2010 · Phoenix, Az
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseMay 8, 2007 to Dec 22, 2008 · Scottsdale, Az
- F••••••• P••••••• A•• W•••••••• A••••••• to C•••••• S••••• • C••• I•••left Aug 21, 2018, registered Aug 14, 2018 (-7 days) · Affiliated broker-dealer or bank to another · moved with a team
- S•••••••• A••••••• L•• to F••••••• P••••••• A•• W•••••••• A•••••••left Jul 13, 2018, registered Jul 13, 2018 (0 days) · corporate re-registration, not a move
- U••• F•••••••• P••••••• S••••••• to S•••••••• A••••••• L••left Dec 16, 2010, registered Jan 14, 2011 (29 days) · Other
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to U••• F•••••••• P••••••• S•••••••left Dec 22, 2008, registered Mar 12, 2009 (80 days) · Wirehouse to a newly registered adviser (no RAUM reported yet)
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
- National broker-dealer RIAderived
- Years in industry
- 20derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address