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••••• I•• M••••
- S••••• A••••••• I••• BD affiliated currentsince Dec 6, 2019 · Birmingham, Al
- Q•••• C•••••• S••••••••• I••• formerSep 29, 2009 to Dec 23, 2019 · Michigan City, In
- N••••••• P••••••• C••••••••• •••• O• A••••••• I• F• • N•• formerJul 13, 2007 to Sep 4, 2009 · Munster, In
- A• G• E•••••• • S•••• I••• unclassifiedFeb 1, 2006 to Jul 12, 2007 · Merrillville, In
- Q•••• C•••••• S••••••••• I••• to S••••• A••••••• I•••left Dec 23, 2019, registered Dec 6, 2019 (-17 days) · corporate re-registration, not a move
- N••••••• P••••••• C••••••••• •••• O• A••••••• I• F• • N•• to Q•••• C•••••• S••••••••• I•••left Sep 4, 2009, registered Sep 29, 2009 (25 days) · Other
- A• G• E•••••• • S•••• I••• to N••••••• P••••••• C••••••••• •••• O• A••••••• I• F• • N••left Jul 12, 2007, registered Jul 13, 2007 (1 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
- 20derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address