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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- C••••••• A•••• M••••••••• L•• BD affiliated currentsince Jul 8, 2016 · Williston, Nd
- L•••••••• W••••• A•••••••• L•• formerNov 2, 2015 to Jul 5, 2016 · Williston, Nd
- W•••• E••••• G••••• I••• BD affiliatedAug 6, 2013 to Oct 26, 2015 · Schaumburg, Il
- P•••••••• S••••••••• I••• BD affiliatedAug 7, 2012 to Aug 5, 2013 · Rancho Mirage, Ca
- L•••••••• W••••• A•••••••• L•• to C••••••• A•••• M••••••••• L••left Jul 5, 2016, registered Jul 8, 2016 (3 days) · Other
- W•••• E••••• G••••• I••• to L•••••••• W••••• A•••••••• L••left Oct 26, 2015, registered Nov 2, 2015 (7 days) · Other
- P•••••••• S••••••••• I••• to W•••• E••••• G••••• I•••left Aug 5, 2013, registered Aug 6, 2013 (1 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
- 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