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.
G••••• C••••••• I•••••
- D••••• C•••••• A•••••••• L•• state registered currentsince Apr 30, 2021 · Henderson, Nv
- F••••••• P••••••• A•• W•••••••• A••••••• formerJan 25, 2019 to Dec 3, 2020 · Henderson, Nv
- U•• F•••••••• S••••••• I••• wirehouseJan 22, 2016 to Nov 7, 2018 · Las Vegas, Nv
- F••••••• P••••••• A•• W•••••••• A••••••• to D••••• C•••••• A•••••••• L••left Dec 3, 2020, registered Apr 30, 2021 (148 days) · Affiliated broker-dealer or bank to a state-registered adviser
- U•• F•••••••• S••••••• I••• to F••••••• P••••••• A•• W•••••••• A•••••••left Nov 7, 2018, registered Jan 25, 2019 (79 days) · Wirehouse to affiliated broker-dealer or bank
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
- 10derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address