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.
S•••• R••••• P•••••••
- I••••••••• F•••••••• G••••• L•• BD affiliated currentsince Aug 19, 2022 · Irvine, Ca
- F•• W••••• M••••••••• L•• BD affiliatedAug 16, 2019 to Aug 18, 2022 · West Des Moines, Ia
- G••••• R••••••••• P••••••• L•• institutionalJan 6, 2017 to Aug 28, 2019 · Phoenix, Az
- M•••••• • N••••• A•••••••• L•• mixed wealthFeb 11, 2010 to Jul 10, 2015 · Marietta, Ga
- M•••••• • N••••• A••••••• A•••••••• C••••••• L•• formerApr 10, 2001 to Dec 31, 2013 · Roswell, Ga
- F•• W••••• M••••••••• L•• to I••••••••• F•••••••• G••••• L••left Aug 18, 2022, registered Aug 19, 2022 (1 days) · Affiliated broker-dealer or bank to another
- G••••• R••••••••• P••••••• L•• to F•• W••••• M••••••••• L••left Aug 28, 2019, registered Aug 16, 2019 (-12 days) · Other
- M•••••• • N••••• A•••••••• L•• to G••••• R••••••••• P••••••• L••left Jul 10, 2015, registered Jan 6, 2017 (546 days) · Other
- M•••••• • N••••• A••••••• A•••••••• C••••••• L•• to M•••••• • N••••• A•••••••• L••left Dec 31, 2013, registered Feb 11, 2010 (-1419 days) · Other
- S•••• R••••• P••••••• left F•• W••••• M••••••••• L•• for I••••••••• F•••••••• G••••• L•• (registered 2022-08-19)Aug 18, 2022 · 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
- 34derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address