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.
M•••••• O•••••
- W•••• F•••• A••••••• wirehouse currentsince Jun 2, 2020 · Melbourne, Fl
- J••• M••••• S••••••••• L•• wirehouseJan 29, 2013 to Jun 10, 2020 · Milwaukee, Wi
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseAug 22, 2011 to Dec 4, 2012 · Laguna Niguel, Ca
- M••••• S•••••• wirehouseJan 10, 2011 to Sep 9, 2011 · Laguna Niguel, Ca
- J••• M••••• S••••••••• L•• to W•••• F•••• A•••••••left Jun 10, 2020, registered Jun 2, 2020 (-8 days) · Wirehouse to wirehouse
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to J••• M••••• S••••••••• L••left Dec 4, 2012, registered Jan 29, 2013 (56 days) · Wirehouse to wirehouse
- M••••• S•••••• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••left Sep 9, 2011, registered Aug 22, 2011 (-18 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
- Wirehousederived
- Years in industry
- 15derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address