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.
Z•••••• D•••• H•••••
- G•• S••••••••• I••• BD affiliated currentsince Jan 2, 2013 · Palm Beach Gardens, Fl
- L••••• A•••••••• L•• formerDec 13, 2010 to Jan 2, 2013 · Edmond, Ok
- E•••••••• A•••••••• L•• national BDApr 9, 2008 to Dec 17, 2010 · Oklahoma City, Ok
- L••••• A•••••••• L•• to G•• S••••••••• I•••left Jan 2, 2013, registered Jan 2, 2013 (0 days) · Other
- E•••••••• A•••••••• L•• to L••••• A•••••••• L••left Dec 17, 2010, registered Dec 13, 2010 (-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
- Broker-dealer affiliated wealth managerderived
- Years in industry
- 18derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address