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.
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- A•••• C•••••• A•••••••• L•• independent RIA currentsince Jul 8, 2013 · Fairhope, Al
- C••••••••• I••••••••• M••••••••• A•• C••••••••• formerMar 7, 2013 to Jul 8, 2013 · Daphne, Al
- U•• F•••••••• S••••••• I••• wirehouseMar 30, 2011 to Jun 26, 2012 · Miamisburg, Oh
- M••••• S•••••• wirehouseSep 27, 2010 to Apr 11, 2011 · Dayton, Oh
- C••••••••• I••••••••• M••••••••• A•• C••••••••• to A•••• C•••••• A•••••••• L••left Jul 8, 2013, registered Jul 8, 2013 (0 days) · Other
- U•• F•••••••• S••••••• I••• to C••••••••• I••••••••• M••••••••• A•• C•••••••••left Jun 26, 2012, registered Mar 7, 2013 (254 days) · Other
- M••••• S•••••• to U•• F•••••••• S••••••• I•••left Apr 11, 2011, registered Mar 30, 2011 (-12 days) · Wirehouse to wirehouse
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