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.
D•••• B• H••••••
- J••• M••••• S••••••••• L•• wirehouse currentsince Sep 18, 2018 · Fontana, Ca
- S•••••••• I••••••••• M••••••••• formerJan 19, 2017 to Mar 9, 2018 · Saint Louis, Mo
- M••••• S•••••• wirehouseOct 9, 2013 to Sep 15, 2015 · Brea, Ca
- W•••••• • R••• formerMar 19, 2013 to Jul 10, 2013 · Brea, Ca
- S•••••••• I••••••••• M••••••••• to J••• M••••• S••••••••• L••left Mar 9, 2018, registered Sep 18, 2018 (193 days) · Affiliated broker-dealer or bank to wirehouse · moved with a team
- M••••• S•••••• to S•••••••• I••••••••• M•••••••••left Sep 15, 2015, registered Jan 19, 2017 (492 days) · Other
- W•••••• • R••• to M••••• S••••••left Jul 10, 2013, registered Oct 9, 2013 (91 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
- Wirehousederived
- Years in industry
- 13derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address