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.
H••••• T••••• B••••••
- R•••••• J•••• F•••••••• S••••••• A•••••••• I•• BD affiliated currentsince Oct 19, 2023 · Walla Walla, Wa
- C••••• I••••••••• A••••••• L•• BD affiliatedFeb 16, 2017 to Oct 18, 2023 · Walla Walla, Wa
- U••• B•••••• I••••••••• I••• formerMay 16, 2012 to Feb 17, 2017 · Walla Walla, Wa
- E••••• J•••• national BDFeb 20, 2007 to May 11, 2012 · St Louis, Mo
- C••••• I••••••••• A••••••• L•• to R•••••• J•••• F•••••••• S••••••• A•••••••• I••left Oct 18, 2023, registered Oct 19, 2023 (1 days) · corporate re-registration, not a move
- U••• B•••••• I••••••••• I••• to C••••• I••••••••• A••••••• L••left Feb 17, 2017, registered Feb 16, 2017 (-1 days) · Other
- E••••• J•••• to U••• B•••••• I••••••••• I•••left May 11, 2012, registered May 16, 2012 (5 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
- Broker-dealer affiliated wealth managerderived
- Years in industry
- 19derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address