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.
A•• L••• B•••••
- O•••• I••••••••• I••• BD affiliated currentsince Nov 1, 2019 · Tampa, Fl
- M••••••• I••••••••• N•••••• I••• BD affiliatedApr 10, 2019 to Nov 4, 2019 · Dallas, Tx
- U••• B•••••• I••••••••• I••• formerAug 31, 2015 to Apr 17, 2019 · Springfield, Il
- E••••• J•••• national BDJul 30, 2013 to Sep 1, 2015 · Annawan, Il
- M••••••• I••••••••• N•••••• I••• to O•••• I••••••••• I•••left Nov 4, 2019, registered Nov 1, 2019 (-3 days) · Affiliated broker-dealer or bank to another · moved with a team
- U••• B•••••• I••••••••• I••• to M••••••• I••••••••• N•••••• I•••left Apr 17, 2019, registered Apr 10, 2019 (-7 days) · Affiliated broker-dealer or bank to another
- E••••• J•••• to U••• B•••••• I••••••••• I•••left Sep 1, 2015, registered Aug 31, 2015 (-1 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