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.
R•••••• C• H••••••
- C•••••••• F••••••••• I••• BD affiliated currentsince Apr 1, 2021 · Anaheim, Ca
- W••••••• F•••••••• S•••••••• I••• formerMar 1, 2019 to Apr 6, 2021 · Lake Charles, La
- Q•••••• A•••• M••••••••• I••• formerMay 8, 2013 to Mar 1, 2019 · Minneapolis, Mn
- S••••••• F•••••••• S•••••••• I••• formerJan 28, 2010 to May 8, 2013 · Lake Charles, La
- W••••••• F•••••••• S•••••••• I••• to C•••••••• F••••••••• I•••left Apr 6, 2021, registered Apr 1, 2021 (-5 days) · Affiliated broker-dealer or bank to another · moved with a team
- Q•••••• A•••• M••••••••• I••• to W••••••• F•••••••• S•••••••• I•••left Mar 1, 2019, registered Mar 1, 2019 (0 days) · corporate re-registration, not a move
- S••••••• F•••••••• S•••••••• I••• to Q•••••• A•••• M••••••••• I•••left May 8, 2013, registered May 8, 2013 (0 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
- 17derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address