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.
M•••••• H•••• H••••
- P•••••••• M•••••• L•• independent RIA currentsince Apr 22, 2020 · Bonita Springs, Fl
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseSep 30, 2016 to Apr 17, 2018 · Sioux Falls, Sd
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseNov 11, 2015 to Jun 14, 2016 · Aiken, Sc
- A•••••• A••••••• S••••••• formerJan 28, 2015 to Nov 13, 2015 · North Augusta, Sc
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to P•••••••• M•••••• L••left Apr 17, 2018, registered Apr 22, 2020 (736 days) · Wirehouse to independent RIA
- A•••••• A••••••• S••••••• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••left Nov 13, 2015, registered Nov 11, 2015 (-2 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
- Independent wealth managerderived
- Years in industry
- 12derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address