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•••••• R• T••••••••
- G•••••••• W••••• P••••••• BD affiliated currentsince Sep 28, 2021 · Palm Beach Gardens, Fl
- C••••• I••••••••• A••••••• L•• BD affiliatedMar 16, 2020 to Oct 8, 2021 · Schaumburg, Il
- W•••• F•••• A••••••• wirehouseJan 19, 2018 to Feb 25, 2020 · St. Louis, Mo
- C••••• I••••••••• A••••••• L•• to G•••••••• W••••• P•••••••left Oct 8, 2021, registered Sep 28, 2021 (-10 days) · Affiliated broker-dealer or bank to independent RIA
- W•••• F•••• A••••••• to C••••• I••••••••• A••••••• L••left Feb 25, 2020, registered Mar 16, 2020 (20 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
- Broker-dealer affiliated wealth managerderived
- Years in industry
- 13derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address