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•••••••• M•••• M•••••
- W•••• F•••• A••••••• wirehouse currentsince May 21, 2014 · North Las Vegas, Nv
- A••••••••• F•••••••• S•••••••• L•• national BDJan 4, 2013 to May 19, 2014 · Las Vegas, Nv
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseSep 20, 2011 to Jan 2, 2013 · Henderson, Nv
- C•••••••• F••••••••• I••• BD affiliatedAug 10, 2010 to Jul 26, 2011 · Las Vegas, Nv
- C•••••• I••••••••• G•••• A•••••••• L•• unclassifiedAug 11, 2009 to Jul 19, 2010 · Las Vegas, Nv
- W•••• F•••• I••••••••• L•• unclassifiedNov 9, 2007 to Aug 19, 2009 · Las Vegas, Nv
- A••••••••• F•••••••• S•••••••• L•• to W•••• F•••• A•••••••left May 19, 2014, registered May 21, 2014 (2 days) · Affiliated broker-dealer or bank to wirehouse
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to A••••••••• F•••••••• S•••••••• L••left Jan 2, 2013, registered Jan 4, 2013 (2 days) · Wirehouse to affiliated broker-dealer or bank
- C•••••••• F••••••••• I••• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••left Jul 26, 2011, registered Sep 20, 2011 (56 days) · Other
- C•••••• I••••••••• G•••• A•••••••• L•• to C•••••••• F••••••••• I•••left Jul 19, 2010, registered Aug 10, 2010 (22 days) · Other
- W•••• F•••• I••••••••• L•• to C•••••• I••••••••• G•••• A•••••••• L••left Aug 19, 2009, registered Aug 11, 2009 (-8 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
- Wirehousederived
- Years in industry
- 18derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address