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.
R•••••• L• A•••
- W•••••••• W••••• M••••••••• independent RIA currentsince May 11, 2023 · Lincoln, Ca
- C••••• S••••• A•••••••• I••• formerNov 15, 2017 to Jan 23, 2023 · Albuquerque, Nm
- O••••••• A••••••• A•• F•••••••• S•••••••• L•• formerJul 25, 2017 to Sep 20, 2017 · Albuquerque, Nm
- M•• F•••••••• S•••••••• I••• formerAug 10, 2007 to Aug 4, 2008 · Sacramento, Ca
- T••••••••• F•••••••• A•••••••• I••• unclassifiedApr 29, 2005 to Jul 19, 2007 · Pflugerville, Tx
- C••••• S••••• A•••••••• I••• to W•••••••• W••••• M•••••••••left Jan 23, 2023, registered May 11, 2023 (108 days) · RIA to RIA
- O••••••• A••••••• A•• F•••••••• S•••••••• L•• to C••••• S••••• A•••••••• I•••left Sep 20, 2017, registered Nov 15, 2017 (56 days) · Other
- M•• F•••••••• S•••••••• I••• to O••••••• A••••••• A•• F•••••••• S•••••••• L••left Aug 4, 2008, registered Jul 25, 2017 (3277 days) · Other
- T••••••••• F•••••••• A•••••••• I••• to M•• F•••••••• S•••••••• I•••left Jul 19, 2007, registered Aug 10, 2007 (22 days) · Other
- R•••••• L• A••• left C••••• S••••• A•••••••• I••• for W•••••••• W••••• M••••••••• (registered 2023-05-11)Jan 23, 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
- Independent wealth managerderived
- Years in industry
- 34derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address