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••• V•••••• M••••
- M•••••• BD affiliated currentsince Jun 3, 2019 · Sioux Falls, Sd
- L•••••• F•••••••• unclassifiedNov 23, 2016 to Jun 17, 2019 · Nashville, Tn
- W••••••• W••••• M••••••••• L•• state registeredApr 25, 2014 to Jun 22, 2016 · Aberdeen, Sd
- E•••••••• A•••••••• L•• national BDNov 23, 2010 to Apr 17, 2014 · Sioux Falls, Sd
- L•••••• F•••••••• to M••••••left Jun 17, 2019, registered Jun 3, 2019 (-14 days) · Other
- W••••••• W••••• M••••••••• L•• to L•••••• F••••••••left Jun 22, 2016, registered Nov 23, 2016 (154 days) · Other
- E•••••••• A•••••••• L•• to W••••••• W••••• M••••••••• L••left Apr 17, 2014, registered Apr 25, 2014 (8 days) · Affiliated broker-dealer or bank to a state-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
- Broker-dealer affiliated wealth managerderived
- Years in industry
- 15derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address