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.
A••••• B•••• B••••
- L•• F•••••••• L•• BD affiliated currentsince Nov 10, 2023 · Plano, Tx
- C••• F•••••••• S•••••••• L••• formerApr 1, 2019 to Nov 10, 2023 · San Diego, Ca
- B••• S••••••••• L•• formerDec 2, 2016 to Apr 9, 2019 · Dallas, Tx
- W•••• F•••• A••••••• wirehouseSep 25, 2013 to Dec 7, 2016 · Addison, Tx
- N••••••••• S••••••••• L•• no RAUMJun 14, 2011 to Jan 14, 2013 · Columbus, Oh
- A•• I••••••••• S•••••••• I••• asset managerMay 22, 2008 to Dec 3, 2008 · Shelton, Ct
- C••••••••• I••••••••• L•• mixed wealthDec 19, 2005 to May 16, 2008 · New York, Ny
- C•••••••• G••••• M•••••• I••• BD affiliatedJul 29, 2004 to Dec 16, 2005 · Stamford, Ct
- C•••••• A••••••• L•• asset managerJul 31, 2002 to Feb 12, 2004 · Naperville, Il
- C••• F•••••••• S•••••••• L••• to L•• F•••••••• L••left Nov 10, 2023, registered Nov 10, 2023 (0 days) · Affiliated broker-dealer or bank to another
- B••• S••••••••• L•• to C••• F•••••••• S•••••••• L•••left Apr 9, 2019, registered Apr 1, 2019 (-8 days) · Affiliated broker-dealer or bank to another
- W•••• F•••• A••••••• to B••• S••••••••• L••left Dec 7, 2016, registered Dec 2, 2016 (-5 days) · Other
- N••••••••• S••••••••• L•• to W•••• F•••• A•••••••left Jan 14, 2013, registered Sep 25, 2013 (254 days) · Other
- A•• I••••••••• S•••••••• I••• to N••••••••• S••••••••• L••left Dec 3, 2008, registered Jun 14, 2011 (923 days) · Other
- C••••••••• I••••••••• L•• to A•• I••••••••• S•••••••• I•••left May 16, 2008, registered May 22, 2008 (6 days) · Other
- C•••••••• G••••• M•••••• I••• to C••••••••• I••••••••• L••left Dec 16, 2005, registered Dec 19, 2005 (3 days) · corporate re-registration, not a move
- C•••••• A••••••• L•• to C•••••••• G••••• M•••••• I•••left Feb 12, 2004, registered Jul 29, 2004 (168 days) · Other
- A••••• B•••• B•••• left C••• F•••••••• S•••••••• L••• for L•• F•••••••• L•• (registered 2023-11-10)Nov 10, 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
- 38derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address