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.
S•••• A•••••
- R•• C•••••• M••••••• L•• national BD currentsince Feb 22, 2021 · San Diego, Ca
- W•••• F•••• A••••••• wirehouseAug 8, 2019 to Feb 24, 2021 · San Diego, Ca
- L•• F•••••••• L•• BD affiliatedJan 4, 2019 to Jul 17, 2019 · San Diego, Ca
- W••••••• I••••••••• formerJul 3, 2018 to Dec 18, 2018 · Chicago, Il
- W•••• F•••• A••••••• to R•• C•••••• M••••••• L••left Feb 24, 2021, registered Feb 22, 2021 (-2 days) · Wirehouse to affiliated broker-dealer or bank
- L•• F•••••••• L•• to W•••• F•••• A•••••••left Jul 17, 2019, registered Aug 8, 2019 (22 days) · RIA to wirehouse
- W••••••• I••••••••• to L•• F•••••••• L••left Dec 18, 2018, registered Jan 4, 2019 (17 days) · RIA to RIA
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
- National broker-dealer RIAderived
- Years in industry
- 11derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address