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•••••• T•••• S•••••
- N••• F•••••• I••••••••• S•••••••• L•• BD affiliated currentsince Aug 30, 2019 · Vienna, Va
- J•••••• M••••••• W••••• M••••••••• L•• independent RIAApr 26, 2019 to Sep 4, 2019 · Florham Park, Nj
- W•••• F•••• A••••••• wirehouseJan 31, 2019 to Apr 30, 2019 · Foley, Al
- E••••• J•••• national BDFeb 11, 2016 to Oct 22, 2018 · Augusta, Ga
- J•••••• M••••••• W••••• M••••••••• L•• to N••• F•••••• I••••••••• S•••••••• L••left Sep 4, 2019, registered Aug 30, 2019 (-5 days) · RIA to affiliated broker-dealer or bank
- W•••• F•••• A••••••• to J•••••• M••••••• W••••• M••••••••• L••left Apr 30, 2019, registered Apr 26, 2019 (-4 days) · Wirehouse to independent RIA
- E••••• J•••• to W•••• F•••• A•••••••left Oct 22, 2018, registered Jan 31, 2019 (101 days) · Affiliated broker-dealer or bank to wirehouse
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
- 10derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address