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•••••• E• R•••••
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouse currentsince Apr 21, 2014 · The Woodlands, Tx
- E•••••••• A•••••••• L•• national BDJul 27, 2011 to Feb 26, 2014 · Denver, Co
- Z•••• C•••••• A•••••••• I••• institutionalOct 14, 2010 to Jun 21, 2011 · Englewood, Co
- E•••••••• A•••••••• L•• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••left Feb 26, 2014, registered Apr 21, 2014 (54 days) · Affiliated broker-dealer or bank to wirehouse
- Z•••• C•••••• A•••••••• I••• to E•••••••• A•••••••• L••left Jun 21, 2011, registered Jul 27, 2011 (36 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
- Wirehousederived
- Years in industry
- 15derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address