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.
C••••• M•••••• D•••••
- W••••••••• R••••••••• A••••••• institutional currentsince Nov 21, 2019 · Aliso Viejo, Ca
- C•••••• S••••• • C••• I••• national BDJun 21, 2012 to Oct 18, 2012 · Orlando, Fl
- W•••• F•••• A••••••• wirehouseDec 1, 2011 to Dec 15, 2011 · Fort Worth, Tx
- W•••• F•••• I••••••••• L•• unclassifiedMay 16, 2008 to Mar 31, 2010 · Addison, Tx
- C•••••• S••••• • C••• I••• to W••••••••• R••••••••• A•••••••left Oct 18, 2012, registered Nov 21, 2019 (2590 days) · Other
- W•••• F•••• A••••••• to C•••••• S••••• • C••• I•••left Dec 15, 2011, registered Jun 21, 2012 (189 days) · Wirehouse to affiliated broker-dealer or bank
- W•••• F•••• I••••••••• L•• to W•••• F•••• A•••••••left Mar 31, 2010, registered Dec 1, 2011 (610 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
- Institutional managerderived
- Years in industry
- 20derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address