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••••••••• A• C••••••
- M•••• C••••••• A••••••• S•••••• BD affiliated currentsince Aug 1, 2013 · Palm Beach Gardens, Fl
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseMay 13, 2011 to Aug 2, 2011 · Louisville, Ky
- M•••• C••••••• A••••••• S•••••• BD affiliatedFeb 20, 2009 to May 16, 2011 · Palm Beach Gardens, Fl
- N•• A•••••••• I••• unclassifiedDec 17, 2007 to Mar 19, 2009 · Louisville, Ky
- R•••••• J•••• F•••••••• S•••••••• I••• unclassifiedApr 2, 2007 to Dec 19, 2007 · Louisville, Ky
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to M•••• C••••••• A••••••• S••••••left Aug 2, 2011, registered Aug 1, 2013 (730 days) · Other
- M•••• C••••••• A••••••• S•••••• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••left May 16, 2011, registered May 13, 2011 (-3 days) · Other
- N•• A•••••••• I••• to M•••• C••••••• A••••••• S••••••left Mar 19, 2009, registered Feb 20, 2009 (-27 days) · Other
- R•••••• J•••• F•••••••• S•••••••• I••• to N•• A•••••••• I•••left Dec 19, 2007, registered Dec 17, 2007 (-2 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
- 26derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address