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.
T•••••• A••••• K•••
- I••••••••• F•••••••• G••••• L•• BD affiliated currentsince Jan 24, 2020 · Southlake, Tx
- C••••••• • C••• I••• formerSep 7, 2018 to Feb 14, 2020 · Malden, Ma
- U•• F•••••••• S••••••• I••• wirehouseFeb 8, 2016 to Sep 6, 2018 · Los Angeles, Ca
- M••••• S•••••• wirehouseNov 20, 2013 to Jan 13, 2016 · Yardley, Pa
- C••••••• • C••• I••• to I••••••••• F•••••••• G••••• L••left Feb 14, 2020, registered Jan 24, 2020 (-21 days) · Affiliated broker-dealer or bank to independent RIA · moved with a team
- U•• F•••••••• S••••••• I••• to C••••••• • C••• I•••left Sep 6, 2018, registered Sep 7, 2018 (1 days) · Wirehouse to affiliated broker-dealer or bank
- M••••• S•••••• to U•• F•••••••• S••••••• I•••left Jan 13, 2016, registered Feb 8, 2016 (26 days) · Wirehouse to wirehouse
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
- 12derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address