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••••••••• F•••••••• S•••••••• L•• national BD currentsince Feb 18, 2020 · Anchorage, Ak
- R••••• W• B•••• • C•• I••••••••• mixed wealthNov 30, 2017 to Oct 26, 2018 · Anchorage, Ak
- W•••• F•••• A••••••• wirehouseJun 17, 2014 to Dec 5, 2017 · Anchorage, Ak
- K•• F•••••••• S•••••••• I•• formerNov 30, 2011 to Nov 27, 2013 · Anchorage, Ak
- R••••• W• B•••• • C•• I••••••••• to A••••••••• F•••••••• S•••••••• L••left Oct 26, 2018, registered Feb 18, 2020 (480 days) · RIA to affiliated broker-dealer or bank
- W•••• F•••• A••••••• to R••••• W• B•••• • C•• I•••••••••left Dec 5, 2017, registered Nov 30, 2017 (-5 days) · Other · moved with a team
- K•• F•••••••• S•••••••• I•• to W•••• F•••• A•••••••left Nov 27, 2013, registered Jun 17, 2014 (202 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
- National broker-dealer RIAderived
- Years in industry
- 14derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address