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•••••••• C• L•••••
- B••••• W••••• C••••••••• I••• independent RIA currentsince May 31, 2012 · Roanoke, Va
- N••• F•••••••• G••••• I••• formerDec 17, 2009 to Sep 5, 2012 · Houston, Tx
- U•• F•••••••• S••••••• I••• wirehouseSep 14, 2007 to Dec 21, 2009 · Red Bank, Nj
- N••• F•••••••• G••••• I••• to B••••• W••••• C••••••••• I•••left Sep 5, 2012, registered May 31, 2012 (-97 days) · Other
- U•• F•••••••• S••••••• I••• to N••• F•••••••• G••••• I•••left Dec 21, 2009, registered Dec 17, 2009 (-4 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
- Independent wealth managerderived
- Years in industry
- 19derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address