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.
C•••• A•••• H•••••
- O•••• W•••••• I••• BD affiliated currentsince Jan 19, 2024 · Goodyear, Az
- W••••••• F•••••••• S•••••••• I••• formerMar 1, 2019 to Jan 19, 2024 · Goodyear, Az
- Q•••••• A•••• M••••••••• I••• formerSep 10, 2014 to Mar 1, 2019 · Minneapolis, Mn
- S••••• F•••••••• G•••• I•• formerJun 23, 2009 to Sep 8, 2014 · Torrance, Ca
- L•• F•••••••• L•• BD affiliatedApr 11, 2006 to Jun 16, 2009 · Torrance, Ca
- H••••••••• G••••• E••••• • R••••••••• S••••••••• unclassifiedFeb 4, 2002 to Nov 9, 2006 · Torrance, Ca
- W••••••• F•••••••• S•••••••• I••• to O•••• W•••••• I•••left Jan 19, 2024, registered Jan 19, 2024 (0 days) · corporate re-registration, not a move
- Q•••••• A•••• M••••••••• I••• to W••••••• F•••••••• S•••••••• I•••left Mar 1, 2019, registered Mar 1, 2019 (0 days) · corporate re-registration, not a move
- S••••• F•••••••• G•••• I•• to Q•••••• A•••• M••••••••• I•••left Sep 8, 2014, registered Sep 10, 2014 (2 days) · Other
- L•• F•••••••• L•• to S••••• F•••••••• G•••• I••left Jun 16, 2009, registered Jun 23, 2009 (7 days) · Other
- H••••••••• G••••• E••••• • R••••••••• S••••••••• to L•• F•••••••• L••left Nov 9, 2006, registered Apr 11, 2006 (-212 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
- 40derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address