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.
R••••••• B••••• V•••••• L••
- A••••• A•• P••••••• S••••••• BD affiliated currentsince Dec 11, 2014 · Diberville, Ms
- B••• I••••••••• S•••••••• I••• formerJul 15, 2013 to Jun 5, 2014 · Hunt Valley, Md
- W•••• F•••• A••••••• wirehouseMay 5, 2009 to Jul 10, 2013 · Birmingham, Al
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseSep 3, 2007 to Feb 13, 2009 · Ridgeland, Ms
- B••• I••••••••• S•••••••• I••• to A••••• A•• P••••••• S•••••••left Jun 5, 2014, registered Dec 11, 2014 (189 days) · Other
- W•••• F•••• A••••••• to B••• I••••••••• S•••••••• I•••left Jul 10, 2013, registered Jul 15, 2013 (5 days) · Wirehouse to a newly registered adviser (no RAUM reported yet)
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to W•••• F•••• A•••••••left Feb 13, 2009, registered May 5, 2009 (81 days) · Wirehouse to wirehouse
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
- 19derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address