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.
E•••• A•• F••••••
- O•••• W•••••• I••• BD affiliated currentsince Mar 25, 2021 · Scottsdale, Az
- E•••••••• A•••••••• L•• national BDAug 10, 2016 to Jul 2, 2019 · Jersey City, Nj
- C•••••• C••••• G••••• I••• no RAUMJul 14, 2014 to Feb 22, 2016 · San Antonio, Tx
- E•••••••• A•••••••• L•• to O•••• W•••••• I•••left Jul 2, 2019, registered Mar 25, 2021 (632 days) · Affiliated broker-dealer or bank to another
- C•••••• C••••• G••••• I••• to E•••••••• A•••••••• L••left Feb 22, 2016, registered Aug 10, 2016 (170 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
- 13derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address