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••••• S•••••• P•••••••
- C•••••••• I••••••••• R••••••• A•••••••• I••• BD affiliated currentsince Nov 16, 2015 · Columbus, Oh
- P••••••• F•••••••• S•••••••• I••• BD affiliatedMar 25, 2015 to Nov 18, 2015 · Dallas, Tx
- E••••• J•••• national BDOct 20, 2014 to Mar 2, 2015 · Delaware, Oh
- P••••••• F•••••••• S•••••••• I••• to C•••••••• I••••••••• R••••••• A•••••••• I•••left Nov 18, 2015, registered Nov 16, 2015 (-2 days) · Other · moved with a team
- E••••• J•••• to P••••••• F•••••••• S•••••••• I•••left Mar 2, 2015, registered Mar 25, 2015 (23 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
- 12derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address