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.
P••••• A•••• M••••••
- P•• W••••• M••••••••• BD affiliated currentsince Jan 23, 2018 · Lagrange Park, Il
- C•••••• O•• A•••••••• L•• formerOct 19, 2015 to Dec 14, 2017 · Frederick, Md
- E•••••••• A•••••••• L•• national BDJul 3, 2014 to Jul 31, 2015 · Falls Church, Va
- V••• F•••••••• A•••••••• I••• BD affiliatedOct 30, 2012 to Jun 24, 2014 · Chicago, Il
- C•••••• O•• A•••••••• L•• to P•• W••••• M•••••••••left Dec 14, 2017, registered Jan 23, 2018 (40 days) · Other
- E•••••••• A•••••••• L•• to C•••••• O•• A•••••••• L••left Jul 31, 2015, registered Oct 19, 2015 (80 days) · Other
- V••• F•••••••• A•••••••• I••• to E•••••••• A•••••••• L••left Jun 24, 2014, registered Jul 3, 2014 (9 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
- Broker-dealer affiliated wealth managerderived
- Years in industry
- 13derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address