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.
S•••••••• A•••• T•••••••
- C••••••• P••••••• independent RIA currentsince Jan 14, 2019 · Overland Park, Ks
- A••••••• C•••••• M••••••••• L•• independent RIASep 26, 2014 to Feb 16, 2018 · Ridgewood, Nj
- C••••• C••••••• L•• formerAug 10, 2012 to Jun 4, 2014 · Franklin, Tn
- A••••••••• F•••••••• S•••••••• L•• national BDMar 28, 2011 to Sep 15, 2011 · Renton, Wa
- A••••••• C•••••• M••••••••• L•• to C••••••• P•••••••left Feb 16, 2018, registered Jan 14, 2019 (332 days) · RIA to RIA
- C••••• C••••••• L•• to A••••••• C•••••• M••••••••• L••left Jun 4, 2014, registered Sep 26, 2014 (114 days) · Other
- A••••••••• F•••••••• S•••••••• L•• to C••••• C••••••• L••left Sep 15, 2011, registered Aug 10, 2012 (330 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
- 15derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address