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.
S•••••• S•••• M•••••
- T••••••• I••••••••• M••••••••• I••• BD affiliated currentsince Dec 19, 2023 · Minneapolis, Mn
- E••••• J•••• national BDJun 14, 2018 to Dec 8, 2023 · Wilmington, Nc
- B••• S••••••••• L•• formerJan 2, 2018 to Feb 2, 2018 · Charlotte, Nc
- B••• I••••••••• S•••••••• I••• formerFeb 7, 2006 to Jan 2, 2018 · Wilmington, Nc
- B••• A•••• M••••••••• I••• unclassifiedSep 1, 2005 to Feb 9, 2006 · Wilmington, Nc
- E••••• J•••• to T••••••• I••••••••• M••••••••• I•••left Dec 8, 2023, registered Dec 19, 2023 (11 days) · Affiliated broker-dealer or bank to another
- B••• S••••••••• L•• to E••••• J••••left Feb 2, 2018, registered Jun 14, 2018 (132 days) · Other
- B••• I••••••••• S•••••••• I••• to B••• S••••••••• L••left Jan 2, 2018, registered Jan 2, 2018 (0 days) · corporate re-registration, not a move
- B••• A•••• M••••••••• I••• to B••• I••••••••• S•••••••• I•••left Feb 9, 2006, registered Feb 7, 2006 (-2 days) · Other
- S•••••• S•••• M••••• left E••••• J•••• for T••••••• I••••••••• M••••••••• I••• (registered 2023-12-19)Dec 8, 2023 · Advisor changed firm · fact
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
- 21derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address