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.
N••••• A••• M•••••••••
- R•••••• F•••••••• N•••••• independent RIA currentsince Jun 25, 2014 · Solon, Oh
- M••• W••••• M••••••••• L•• unclassifiedApr 23, 2013 to Sep 30, 2014 · Sarasota, Fl
- M••••• S•••••• wirehouseNov 1, 2011 to Jul 17, 2012 · Sarasota, Fl
- M••• W••••• M••••••••• L•• to R•••••• F•••••••• N••••••left Sep 30, 2014, registered Jun 25, 2014 (-97 days) · Other
- M••••• S•••••• to M••• W••••• M••••••••• L••left Jul 17, 2012, registered Apr 23, 2013 (280 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
- Independent wealth managerderived
- Years in industry
- 14derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address