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.
G••••• P•••••• F•••••
- W•••• F•••• A••••••• wirehouse currentsince Nov 12, 2014 · Cape Canaveral, Fl
- B••• I••••••••• S•••••••• I••• formerNov 15, 2012 to Nov 7, 2014 · Melbourne, Fl
- E••••• J•••• national BDNov 6, 2009 to Oct 22, 2012 · St Louis, Mo
- B••• I••••••••• S•••••••• I••• to W•••• F•••• A•••••••left Nov 7, 2014, registered Nov 12, 2014 (5 days) · Other
- E••••• J•••• to B••• I••••••••• S•••••••• I•••left Oct 22, 2012, registered Nov 15, 2012 (24 days) · Affiliated broker-dealer or bank to a newly registered adviser
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
- 17derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address