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.
A••• S•••• B••••••••
- S••••• W••••• A•••••••• I••• no RAUM currentsince Jan 17, 2023 · Panama City Beach, Fl
- S••••• W••••• A•••••••• I••• no RAUMNov 27, 2018 to Feb 1, 2021 · Orlando, Fl
- F•••• T•••• S••••••••• I••• BD affiliatedDec 14, 2017 to Oct 5, 2018 · Knoxville, Tn
- C••• B•••••••• S•••••••• I••• formerAug 29, 2016 to Dec 12, 2017 · Waverly, Ia
- S•••••••• A••••••• L•• national BDSep 15, 2009 to Jun 28, 2016 · Campbell, Ca
- F•••• T•••• S••••••••• I••• to S••••• W••••• A•••••••• I•••left Oct 5, 2018, registered Nov 27, 2018 (53 days) · Affiliated broker-dealer or bank to another
- C••• B•••••••• S•••••••• I••• to F•••• T•••• S••••••••• I•••left Dec 12, 2017, registered Dec 14, 2017 (2 days) · Other
- S•••••••• A••••••• L•• to C••• B•••••••• S•••••••• I•••left Jun 28, 2016, registered Aug 29, 2016 (62 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
- No RAUM reportedderived
- Years in industry
- 18derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address