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.
J••••• E••••• F•••••
- U•• F•••••••• S••••••• I••• wirehouse currentsince Oct 24, 2017 · Colorado Springs, Co
- F•• I••••••••• M••••••••• S•••••••• I••• formerNov 28, 2011 to Oct 5, 2017 · West Des Moines, Ia
- M••••• S•••••• wirehouseApr 9, 2010 to Jan 11, 2011 · Casper, Wy
- B••••••• I••••••••• S•••••••• I••• ••••• formerMar 19, 2009 to Jan 12, 2010 · Sheridan, Wy
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseAug 15, 2008 to Feb 12, 2009 · Fort Collins, Co
- F•• I••••••••• M••••••••• S•••••••• I••• to U•• F•••••••• S••••••• I•••left Oct 5, 2017, registered Oct 24, 2017 (19 days) · Other
- M••••• S•••••• to F•• I••••••••• M••••••••• S•••••••• I•••left Jan 11, 2011, registered Nov 28, 2011 (321 days) · Other
- B••••••• I••••••••• S•••••••• I••• ••••• to M••••• S••••••left Jan 12, 2010, registered Apr 9, 2010 (87 days) · Other
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to B••••••• I••••••••• S•••••••• I••• •••••left Feb 12, 2009, registered Mar 19, 2009 (35 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