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.
- A•••••• F•••• state registered currentsince Jan 10, 2019 · Phoenix, Az
- C•••••• E•••••••• S•••••••• unclassifiedJan 24, 2018 to Dec 14, 2018 · Phoenix, Az
- L••••••• S••••••••• C•••• BD affiliatedOct 21, 2015 to Jan 31, 2018 · Towson, Md
- P•••• S••••••••• L•• no RAUMDec 24, 2014 to Aug 20, 2015 · Hunt Valley, Md
- C•••••• E•••••••• S•••••••• to A•••••• F••••left Dec 14, 2018, registered Jan 10, 2019 (27 days) · Other
- L••••••• S••••••••• C•••• to C•••••• E•••••••• S••••••••left Jan 31, 2018, registered Jan 24, 2018 (-7 days) · Other
- P•••• S••••••••• L•• to L••••••• S••••••••• C••••left Aug 20, 2015, registered Oct 21, 2015 (62 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
- 11derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address