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.
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- R• F• L••••••• • C••• I••• BD affiliated currentsince Feb 26, 2016 · Willmington, De
- F•••••• A••••••• S•••••••• L•• formerSep 30, 2010 to Feb 26, 2016 · St. Louis, Mo
- J••••• M••••••••• S•••• L•• BD affiliatedAug 4, 2005 to Oct 4, 2010 · Media, Pa
- F•••••• A••••••• S•••••••• L•• to R• F• L••••••• • C••• I•••left Feb 26, 2016, registered Feb 26, 2016 (0 days) · Other · moved with a team
- J••••• M••••••••• S•••• L•• to F•••••• A••••••• S•••••••• L••left Oct 4, 2010, registered Sep 30, 2010 (-4 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
- Broker-dealer affiliated wealth managerderived
- Years in industry
- 45derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address