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••••• J••• L•••••••
- E•• A••••••• BD affiliated currentsince Mar 30, 2022 · Taylors, Sc
- A••••••• A•••••• G••••• L•• independent RIA currentsince Mar 30, 2022 · Cambridge, Mn
- T••••••• I••••••••• M••••••••• I••• BD affiliatedMar 19, 2021 to Jul 30, 2021 · Scottsdale, Az
- L•• F•••••••• L•• BD affiliatedNov 29, 2016 to Jan 24, 2017 · Lander, Wy
- C••••• I••••••••• A••••••• L•• BD affiliatedJan 21, 2014 to Nov 29, 2016 · Casper, Wy
- C••••• I••••••••• S••••••• L•• formerAug 23, 2012 to Jan 21, 2014 · Casper, Wy
- B••••••• I••••••••• S•••••••• I••• ••••• formerAug 10, 2009 to Aug 15, 2012 · Jackson, Wy
- U••• B•••••• A•••••••• L•• BD affiliatedNov 9, 2000 to Jul 2, 2004 · San Francisco, Ca
- T••••••• I••••••••• M••••••••• I••• to A••••••• A•••••• G••••• L••left Jul 30, 2021, registered Mar 30, 2022 (243 days) · Affiliated broker-dealer or bank to independent RIA
- L•• F•••••••• L•• to T••••••• I••••••••• M••••••••• I•••left Jan 24, 2017, registered Mar 19, 2021 (1515 days) · Other
- C••••• I••••••••• A••••••• L•• to L•• F•••••••• L••left Nov 29, 2016, registered Nov 29, 2016 (0 days) · corporate re-registration, not a move
- C••••• I••••••••• S••••••• L•• to C••••• I••••••••• A••••••• L••left Jan 21, 2014, registered Jan 21, 2014 (0 days) · corporate re-registration, not a move
- B••••••• I••••••••• S•••••••• I••• ••••• to C••••• I••••••••• S••••••• L••left Aug 15, 2012, registered Aug 23, 2012 (8 days) · Other
- U••• B•••••• A•••••••• L•• to B••••••• I••••••••• S•••••••• I••• •••••left Jul 2, 2004, registered Aug 10, 2009 (1865 days) · Other
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
- 33derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address