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•••• B••••••
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouse currentsince Jun 13, 2014 · Riverside, Ri
- M•••••• independent RIAJul 20, 2011 to Jan 17, 2013 · Overland Park,, Ks
- N•• E•••••• S••••••••• C••••••••• formerMay 26, 2011 to Oct 3, 2012 · Wellesley, Ma
- W•••• F•••• A••••••• wirehouseNov 12, 2008 to Nov 19, 2010 · Boston, Ma
- M•••••• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••left Jan 17, 2013, registered Jun 13, 2014 (512 days) · Other
- N•• E•••••• S••••••••• C••••••••• to M••••••left Oct 3, 2012, registered Jul 20, 2011 (-441 days) · Other
- W•••• F•••• A••••••• to N•• E•••••• S••••••••• C•••••••••left Nov 19, 2010, registered May 26, 2011 (188 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
- Wirehousederived
- Years in industry
- 18derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address