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.
J••• A• W••••••
- L•• E••••••••• L•• BD affiliated currentsince Nov 14, 2024 · Casper, Wy
- P•••• S••••••••• L•• no RAUMNov 13, 2020 to Nov 14, 2024 · Casper, Wy
- A••••••• F•••••••• A•••••••• L•• BD affiliatedJan 9, 2018 to Nov 9, 2020 · Casper, Wy
- E•••• S••••••••• L•• BD affiliatedJul 18, 2017 to Nov 2, 2017 · Casper, Wy
- P•••• S••••••••• L•• to L•• E••••••••• L••left Nov 14, 2024, registered Nov 14, 2024 (0 days) · corporate re-registration, not a move
- A••••••• F•••••••• A•••••••• L•• to P•••• S••••••••• L••left Nov 9, 2020, registered Nov 13, 2020 (4 days) · Affiliated broker-dealer or bank to another
- E•••• S••••••••• L•• to A••••••• F•••••••• A•••••••• L••left Nov 2, 2017, registered Jan 9, 2018 (68 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
- 42derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address