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.
D•••• M•• A•••
- W•••••••• W••••• M••••••••• independent RIA currentsince Aug 15, 2023 · Lincoln, Ca
- O••••••• A••••••• A•• F•••••••• S•••••••• L•• formerMar 16, 2014 to Dec 16, 2014 · Elizabeth City, Nc
- P•••••••• S••••••••• I••• BD affiliatedApr 26, 2011 to Aug 5, 2013 · Elizabeth City, Nc
- E•••• S••••••••• L•• BD affiliatedOct 23, 2002 to Oct 26, 2005 · Elk Grove, Ca
- O••••••• A••••••• A•• F•••••••• S•••••••• L•• to W•••••••• W••••• M•••••••••left Dec 16, 2014, registered Aug 15, 2023 (3164 days) · Other
- P•••••••• S••••••••• I••• to O••••••• A••••••• A•• F•••••••• S•••••••• L••left Aug 5, 2013, registered Mar 16, 2014 (223 days) · Other
- E•••• S••••••••• L•• to P•••••••• S••••••••• I•••left Oct 26, 2005, registered Apr 26, 2011 (2008 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
- 42derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address