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.
M•••••• D• L••
- J••• M••••• S••••••••• L•• wirehouse currentsince Mar 8, 2018 · Rolling Hills, Ca
- S•••••••• I••••••••• M••••••••• formerJan 24, 2017 to Mar 9, 2018 · Saint Louis, Mo
- B•• A•••••••• L•• state registeredFeb 18, 2009 to Dec 10, 2015 · Indio, Ca
- S•••••••• I••••••••• M••••••••• to J••• M••••• S••••••••• L••left Mar 9, 2018, registered Mar 8, 2018 (-1 days) · Affiliated broker-dealer or bank to wirehouse · moved with a team
- B•• A•••••••• L•• to S•••••••• I••••••••• M•••••••••left Dec 10, 2015, registered Jan 24, 2017 (411 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
- 17derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address