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.
B••••••• W•••••• R•••••••••
- S•••••••• A••••••• L•• national BD currentsince Mar 31, 2025 · Bellevue, Wa
- F••••••• P••••••• A•• W•••••••• A••••••• formerOct 23, 2018 to Mar 31, 2025 · Bellevue, Wa
- S•••••••• I••••••••• M••••••••• formerJan 17, 2017 to Mar 9, 2018 · Saint Louis, Mo
- U••• F•••••••• P••••••• S••••••• formerMay 18, 2011 to May 26, 2015 · Tampa, Fl
- C•••• I••••••••• S••••••• C•••• formerSep 29, 2010 to Mar 28, 2011 · Clearwater, Fl
- R•••••• J•••• • A••••••••• I••• national BDMar 30, 2006 to Jul 7, 2009 · Orlando, Fl
- C•••••• S••••• • C••• I••• national BDFeb 10, 2003 to Mar 1, 2006 · Orlando, Fl
- 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
- S•••••••• I••••••••• M••••••••• to F••••••• P••••••• A•• W•••••••• A•••••••left Mar 9, 2018, registered Oct 23, 2018 (228 days) · Affiliated broker-dealer or bank to another · moved with a team
- U••• F•••••••• P••••••• S••••••• to S•••••••• I••••••••• M•••••••••left May 26, 2015, registered Jan 17, 2017 (602 days) · Other
- C•••• I••••••••• S••••••• C•••• to U••• F•••••••• P••••••• S•••••••left Mar 28, 2011, registered May 18, 2011 (51 days) · Other
- R•••••• J•••• • A••••••••• I••• to C•••• I••••••••• S••••••• C••••left Jul 7, 2009, registered Sep 29, 2010 (449 days) · Other
- C•••••• S••••• • C••• I••• to R•••••• J•••• • A••••••••• I•••left Mar 1, 2006, registered Mar 30, 2006 (29 days) · Affiliated broker-dealer or bank to another
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
- 34derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address