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••••••••• R••••• L•••••
- R••••••••• C•••••• M••••••••• L•• asset manager currentsince Oct 22, 2013 · Vancouver, Wa
- E••••••• W••••• M••••••••• formerOct 5, 2012 to Sep 9, 2013 · Santa Rosa, Ca
- I••••••••• F•••••••• P••••••• BD affiliatedFeb 7, 2012 to Nov 5, 2012 · North Brook, Il
- R••••••••• C•••••• M••••••••• L•• asset managerJul 6, 2009 to Feb 6, 2012 · Chicago, Il
- I••••••••• W••••• M••••••••• L•• unclassifiedFeb 23, 2007 to Jun 30, 2009 · Chicago, Il
- E••••••• W••••• M••••••••• to R••••••••• C•••••• M••••••••• L••left Sep 9, 2013, registered Oct 22, 2013 (43 days) · Other
- I••••••••• F•••••••• P••••••• to E••••••• W••••• M•••••••••left Nov 5, 2012, registered Oct 5, 2012 (-31 days) · Other
- R••••••••• C•••••• M••••••••• L•• to I••••••••• F•••••••• P•••••••left Feb 6, 2012, registered Feb 7, 2012 (1 days) · Other
- I••••••••• W••••• M••••••••• L•• to R••••••••• C•••••• M••••••••• L••left Jun 30, 2009, registered Jul 6, 2009 (6 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
- Asset manager (funds and pooled vehicles)derived
- Years in industry
- 19derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address