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.
S••• P•••••• K••••
- F•••• T•••• A••••••• L• asset manager currentsince Apr 2, 2019 · Wheaton, Il
- S••••••• I••••••••• S•••••••• I••• formerAug 19, 2016 to Dec 31, 2016 · Nashville, Tn
- T••••• A••••••• S•••••••• I••• BD affiliatedAug 19, 2016 to Nov 20, 2018 · Nashville, Tn
- A••••••••• F•••••••• S•••••••• L•• national BDJul 3, 2014 to Jul 19, 2016 · Sioux City, Ia
- T••••• A••••••• S•••••••• I••• to F•••• T•••• A••••••• L•left Nov 20, 2018, registered Apr 2, 2019 (133 days) · Other
- S••••••• I••••••••• S•••••••• I••• to T••••• A••••••• S•••••••• I•••left Dec 31, 2016, registered Aug 19, 2016 (-134 days) · corporate re-registration, not a move
- A••••••••• F•••••••• S•••••••• L•• to S••••••• I••••••••• S•••••••• I•••left Jul 19, 2016, registered Aug 19, 2016 (31 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
- Asset manager (funds and pooled vehicles)derived
- Years in industry
- 12derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address