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.
F•••• S•••••• F••••
- W•••• F•••• A••••••• wirehouse currentsince Nov 26, 2018 · Stuart, Fl
- C•••••• S••••• • C••• I••• national BDSep 27, 2017 to Nov 12, 2018 · Henderson, Nv
- W•••• F•••• A••••••• wirehouseAug 28, 2015 to Aug 9, 2017 · Cape Coral, Fl
- A•••••• A••••••• S••••••• formerJan 21, 2015 to Aug 10, 2015 · Gilbert, Az
- A•••••• A••••••• S••••••• formerMar 27, 2014 to Dec 19, 2014 · East Boston, Ma
- L•• F•••••••• L•• BD affiliatedJun 12, 2012 to Feb 10, 2014 · Boston, Ma
- O••••••••• • C•• I••• BD affiliatedSep 22, 2008 to Jun 15, 2012 · Boston, Ma
- C•••••• S••••• • C••• I••• to W•••• F•••• A•••••••left Nov 12, 2018, registered Nov 26, 2018 (14 days) · Affiliated broker-dealer or bank to wirehouse
- W•••• F•••• A••••••• to C•••••• S••••• • C••• I•••left Aug 9, 2017, registered Sep 27, 2017 (49 days) · Wirehouse to affiliated broker-dealer or bank
- A•••••• A••••••• S••••••• to W•••• F•••• A•••••••left Aug 10, 2015, registered Aug 28, 2015 (18 days) · Other
- L•• F•••••••• L•• to A•••••• A••••••• S•••••••left Feb 10, 2014, registered Mar 27, 2014 (45 days) · Other
- O••••••••• • C•• I••• to L•• F•••••••• L••left Jun 15, 2012, registered Jun 12, 2012 (-3 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