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.
B•••••• S•••• M••••
- L•• F•••••••• L•• BD affiliated currentsince Oct 4, 2023 · Onalaska, Wi
- F•• S••••••••• C••••••••• formerOct 4, 2019 to Oct 5, 2023 · S••••Sdale, Az
- R•••••• J•••• • A••••••••• I••• national BDMay 10, 2016 to Oct 7, 2019 · S••••Sdale, Az
- U•• F•••••••• S••••••• I••• wirehouseMay 5, 2011 to May 19, 2016 · Denver, Co
- M••••• S•••••• wirehouseJun 1, 2009 to May 11, 2011 · Denver, Co
- M••••• S•••••• • C•• L•• unclassifiedJan 15, 2009 to Jun 1, 2009 · Denver, Co
- F•• S••••••••• C••••••••• to L•• F•••••••• L••left Oct 5, 2023, registered Oct 4, 2023 (-1 days) · Affiliated broker-dealer or bank to another
- R•••••• J•••• • A••••••••• I••• to F•• S••••••••• C•••••••••left Oct 7, 2019, registered Oct 4, 2019 (-3 days) · Affiliated broker-dealer or bank to another
- U•• F•••••••• S••••••• I••• to R•••••• J•••• • A••••••••• I•••left May 19, 2016, registered May 10, 2016 (-9 days) · Wirehouse to affiliated broker-dealer or bank
- M••••• S•••••• to U•• F•••••••• S••••••• I•••left May 11, 2011, registered May 5, 2011 (-6 days) · Wirehouse to wirehouse
- M••••• S•••••• • C•• L•• to M••••• S••••••left Jun 1, 2009, registered Jun 1, 2009 (0 days) · corporate re-registration, not a move
- B•••••• S•••• M•••• left F•• S••••••••• C••••••••• for L•• F•••••••• L•• (registered 2023-10-04)Oct 5, 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
- 35derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address