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.
S••••• H•••••• S••••••
- S•••• A•• S••••• W••••• M••••••••• L•••• state registered currentsince Apr 11, 2018 · Garden Ridge, Tx
- E•••••• W••••• unclassifiedNov 17, 2016 to Jun 30, 2017 · South Ogden, Ut
- B••••••••• W••••• A•••••••• L•• no RAUMJan 28, 2015 to Nov 9, 2016 · Ogden, Ut
- E•• A••••••• S•••••••• I•• independent RIAOct 22, 2014 to Dec 17, 2014 · Southfield, Mi
- E•••••• W••••• to S•••• A•• S••••• W••••• M••••••••• L••••left Jun 30, 2017, registered Apr 11, 2018 (285 days) · Other
- B••••••••• W••••• A•••••••• L•• to E•••••• W•••••left Nov 9, 2016, registered Nov 17, 2016 (8 days) · Other
- E•• A••••••• S•••••••• I•• to B••••••••• W••••• A•••••••• L••left Dec 17, 2014, registered Jan 28, 2015 (42 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
- STATE REGISTEREDderived
- Years in industry
- 25derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address