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.
E•••• B•••• F•••••
- K•••••••• W••••• M••••••••• L•• independent RIA currentsince Dec 3, 2019 · Grants Pass, Or
- W•••• F•••• A••••••• wirehouseJan 1, 2008 to Dec 5, 2019 · Myrtle Beach, Sc
- A• G• E•••••• • S•••• I••• unclassifiedAug 24, 2004 to Jan 1, 2008 · Myrtle Beach, Sc
- L••• M•••• W••• W•••••• I••••••••• unclassifiedMay 9, 2001 to Sep 9, 2004 · Myrtle Beach, Sc
- W•••• F•••• A••••••• to K•••••••• W••••• M••••••••• L••left Dec 5, 2019, registered Dec 3, 2019 (-2 days) · Wirehouse to independent RIA · moved with a team
- A• G• E•••••• • S•••• I••• to W•••• F•••• A•••••••left Jan 1, 2008, registered Jan 1, 2008 (0 days) · corporate re-registration, not a move
- L••• M•••• W••• W•••••• I••••••••• to A• G• E•••••• • S•••• I•••left Sep 9, 2004, registered Aug 24, 2004 (-16 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
- Independent wealth managerderived
- Years in industry
- 39derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address