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.
D•••• A••••• S••••••••
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouse currentsince Dec 9, 2015 · Atlanta, Ga
- O•••• F•• I••• formerDec 19, 2013 to Nov 23, 2015 · Atlanta, Ga
- D••••••• C•••••• M••••••••• A•••••••• I•• formerJun 19, 2012 to Oct 31, 2013 · Philadelphia, Pa
- W•••• F•••• A••••••• wirehouseMar 20, 2009 to Jul 8, 2009 · Oakhurst, Nj
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseAug 30, 2007 to Mar 16, 2009 · Pennington, Nj
- O•••• F•• I••• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••left Nov 23, 2015, registered Dec 9, 2015 (16 days) · Other
- D••••••• C•••••• M••••••••• A•••••••• I•• to O•••• F•• I•••left Oct 31, 2013, registered Dec 19, 2013 (49 days) · Other
- W•••• F•••• A••••••• to D••••••• C•••••• M••••••••• A•••••••• I••left Jul 8, 2009, registered Jun 19, 2012 (1077 days) · Wirehouse to a newly registered adviser (no RAUM reported yet)
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to W•••• F•••• A•••••••left Mar 16, 2009, registered Mar 20, 2009 (4 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
- Wirehousederived
- Years in industry
- 19derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address