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.
- W•••• F•••• A••••••• wirehouse currentsince Oct 19, 2020 · Temecula, Ca
- U••• B•••••• I••••••••• I••• formerSep 22, 2017 to Oct 21, 2020 · Hemet, Ca
- B••••••• I••••••••• S•••••••• I••• ••••• formerNov 18, 2014 to Oct 3, 2017 · Denver, Co
- W•••••• • R••• formerApr 19, 2014 to Nov 24, 2014 · Las Vegas, Nv
- U••• B•••••• I••••••••• I••• to W•••• F•••• A•••••••left Oct 21, 2020, registered Oct 19, 2020 (-2 days) · Affiliated broker-dealer or bank to wirehouse
- B••••••• I••••••••• S•••••••• I••• ••••• to U••• B•••••• I••••••••• I•••left Oct 3, 2017, registered Sep 22, 2017 (-11 days) · Other
- W•••••• • R••• to B••••••• I••••••••• S•••••••• I••• •••••left Nov 24, 2014, registered Nov 18, 2014 (-6 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
- 12derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address