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.
B••••••• C•••••• S•••••
- C•••••• C••••• G••••• I••• no RAUM currentsince Jun 7, 2017 · Los Angeles, Ca
- C•••••• A••••••• C••••••••• independent RIASep 7, 2016 to May 5, 2017 · Greenfield, In
- C•••••••• I••••••••• R••••••• A•••••••• I••• BD affiliatedJul 18, 2016 to Sep 21, 2016 · Carmel, In
- W•••••• • R••• formerJul 11, 2013 to Jul 22, 2016 · Charleroi, Pa
- C•••••• A••••••• C••••••••• to C•••••• C••••• G••••• I•••left May 5, 2017, registered Jun 7, 2017 (33 days) · Other
- C•••••••• I••••••••• R••••••• A•••••••• I••• to C•••••• A••••••• C•••••••••left Sep 21, 2016, registered Sep 7, 2016 (-14 days) · Other
- W•••••• • R••• to C•••••••• I••••••••• R••••••• A•••••••• I•••left Jul 22, 2016, registered Jul 18, 2016 (-4 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
- No RAUM reportedderived
- Years in industry
- 13derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address