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.
M•••••• M••••• M•••••
- R••••• I••••••••• A•••••••• I•• BD affiliated currentsince Jan 1, 2025 · Wilmington, De
- A•••• W••••• A•••••••• L•• BD affiliatedMar 31, 2023 to Dec 22, 2023 · Chicago, Il
- C••••• S••••• A•••••••• I••• formerJan 7, 2015 to Jun 22, 2023 · Escondido, Ca
- G••••••• A•••••••• L•• independent RIAAug 29, 2013 to Dec 31, 2014 · San Diego, Ca
- A•••• W••••• A•••••••• L•• to R••••• I••••••••• A•••••••• I••left Dec 22, 2023, registered Jan 1, 2025 (376 days) · Affiliated broker-dealer or bank to another
- C••••• S••••• A•••••••• I••• to A•••• W••••• A•••••••• L••left Jun 22, 2023, registered Mar 31, 2023 (-83 days) · RIA to affiliated broker-dealer or bank · moved with a team
- G••••••• A•••••••• L•• to C••••• S••••• A•••••••• I•••left Dec 31, 2014, registered Jan 7, 2015 (7 days) · Other
- M•••••• M••••• M••••• left A•••• W••••• A•••••••• L•• for R••••• I••••••••• A•••••••• I•• (registered 2025-01-01)Dec 22, 2023 · Advisor changed firm · fact
- M•••••• M••••• M••••• left C••••• S••••• A•••••••• I••• for A•••• W••••• A•••••••• L•• (registered 2023-03-31)Jun 22, 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
- 16derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address