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••••••• institutional currentsince Aug 25, 2020 · Raleigh, Nc
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseMar 29, 2018 to Jan 23, 2020 · Hunt Valley, Md
- S•••••••• I••••••••• M••••••••• formerMay 8, 2017 to Mar 7, 2018 · Saint Louis, Mo
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseMay 24, 2010 to Apr 25, 2017 · Jacksonville, Fl
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to C•••••••left Jan 23, 2020, registered Aug 25, 2020 (215 days) · Other
- S•••••••• I••••••••• M••••••••• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••left Mar 7, 2018, registered Mar 29, 2018 (22 days) · Affiliated broker-dealer or bank to wirehouse · moved with a team
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to S•••••••• I••••••••• M•••••••••left Apr 25, 2017, registered May 8, 2017 (13 days) · Other · moved with a team
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
- 19derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address