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.
D••••• R••••
- S•••••••• A••••••• L•• national BD currentsince Mar 31, 2025 · Henderson, Nv
- F••••••• P••••••• A•• W•••••••• A••••••• formerMay 23, 2023 to Mar 31, 2025 · Henderson, Nv
- A••••••••• F•••••••• S•••••••• L•• national BDJan 14, 2008 to Jul 14, 2008 · Phoenix, Az
- W•••• F•••• A••••••• wirehouseJul 1, 2003 to Aug 1, 2003 · Richmond, Va
- P••••••••• E••••• G••••• L•• unclassifiedMay 21, 2001 to Jul 1, 2003 · Sun City, Az
- F••••••• P••••••• A•• W•••••••• A••••••• to S•••••••• A••••••• L••left Mar 31, 2025, registered Mar 31, 2025 (0 days) · corporate re-registration, not a move
- A••••••••• F•••••••• S•••••••• L•• to F••••••• P••••••• A•• W•••••••• A•••••••left Jul 14, 2008, registered May 23, 2023 (5426 days) · Affiliated broker-dealer or bank to another
- W•••• F•••• A••••••• to A••••••••• F•••••••• S•••••••• L••left Aug 1, 2003, registered Jan 14, 2008 (1627 days) · Wirehouse to affiliated broker-dealer or bank
- P••••••••• E••••• G••••• L•• to W•••• F•••• A•••••••left Jul 1, 2003, registered Jul 1, 2003 (0 days) · corporate re-registration, not a move
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
- 25derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address