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••• W••••••• H••••••••
- A••••••••• F•••••••• S•••••••• L•• national BD currentsince Nov 30, 2023 · Fond Du Lac, Wi
- F•••• C•••••• A••••••• S••••••• BD affiliatedDec 15, 2015 to Oct 2, 2023 · Fort Worth, Tx
- F•••• C•••••• F•••••••• P•••••••• I••• formerSep 18, 2008 to Dec 15, 2015 · Fort Worth, Tx
- A••••• A•• P••••••• S••••••• BD affiliatedOct 16, 2007 to Sep 17, 2008 · Charlotte, Nc
- F•••• C•••••• A••••••• S••••••• to A••••••••• F•••••••• S•••••••• L••left Oct 2, 2023, registered Nov 30, 2023 (59 days) · Affiliated broker-dealer or bank to another
- F•••• C•••••• F•••••••• P•••••••• I••• to F•••• C•••••• A••••••• S•••••••left Dec 15, 2015, registered Dec 15, 2015 (0 days) · corporate re-registration, not a move
- A••••• A•• P••••••• S••••••• to F•••• C•••••• F•••••••• P•••••••• I•••left Sep 17, 2008, registered Sep 18, 2008 (1 days) · Other
- M••• W••••••• H•••••••• left F•••• C•••••• A••••••• S••••••• for A••••••••• F•••••••• S•••••••• L•• (registered 2023-11-30)Oct 2, 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
- National broker-dealer RIAderived
- Years in industry
- 35derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address