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• D••••
- T••• I••••••••• A•••••••• L•• independent RIA currentsince Jun 8, 2020 · Laguna Niguel, Ca
- C••••••••• S••••••••• L•• BD affiliatedAug 2, 2013 to Jun 5, 2020 · Overland Park, Ks
- M••• S••••••••• C••••••••• unclassifiedFeb 10, 2004 to May 20, 2005 · Citrus Height, Ca
- V••• F•••••••• A•••••••• I••• BD affiliatedMay 17, 2000 to Jul 29, 2009 · Green Bay, Wi
- C••••••••• S••••••••• L•• to T••• I••••••••• A•••••••• L••left Jun 5, 2020, registered Jun 8, 2020 (3 days) · Affiliated broker-dealer or bank to independent RIA
- V••• F•••••••• A•••••••• I••• to M••• S••••••••• C•••••••••left Jul 29, 2009, registered Feb 10, 2004 (-1996 days) · Other
- M••• S••••••••• C••••••••• to C••••••••• S••••••••• L••left May 20, 2005, registered Aug 2, 2013 (2996 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
- 40derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address