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•••• M•••••• C•••••••
- I••• R•••• C•••••• L•• state registered currentsince Dec 9, 2014 · Durango, Co
- S••••• A••• I••••••••• A•••••• S•••••••• I••• formerJun 6, 2011 to Dec 12, 2014 · Youngstown, Oh
- M•• I•••••••• S•••••••• L•• BD affiliatedSep 29, 2009 to May 5, 2011 · Farmington, Nm
- S••••• A••• I••••••••• A•••••• S•••••••• I••• to I••• R•••• C•••••• L••left Dec 12, 2014, registered Dec 9, 2014 (-3 days) · Other
- M•• I•••••••• S•••••••• L•• to S••••• A••• I••••••••• A•••••• S•••••••• I•••left May 5, 2011, registered Jun 6, 2011 (32 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
- STATE REGISTEREDderived
- Years in industry
- 17derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address