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.
- •••••••• independent RIA currentsince Sep 1, 2023 · Henderson, Nv
- W•••• F•••• A••••••• wirehouseJan 5, 2018 to Sep 7, 2023 · Hermosa Beach, Ca
- W•••• F•••• A••••••• wirehouseJul 1, 2003 to Jan 5, 2018 · Henderson, Nv
- C•••••••• G••••• M•••••• I••• BD affiliatedMar 31, 2003 to Apr 3, 2003 · Las Vegas, Nv
- P••••••••• E••••• G••••• L•• unclassifiedMar 25, 2003 to Jul 1, 2003 · Las Vegas, Nv
- W•••• F•••• A••••••• to ••••••••left Sep 7, 2023, registered Sep 1, 2023 (-6 days) · Wirehouse to independent RIA · moved with a team
- W•••• F•••• A••••••• to W•••• F•••• A•••••••left Jan 5, 2018, registered Jan 5, 2018 (0 days) · channel change inside one enterprise, not a move
- P••••••••• E••••• G••••• L•• to C•••••••• G••••• M•••••• I•••left Jul 1, 2003, registered Mar 31, 2003 (-92 days) · Other
- C•••••••• G••••• M•••••• I••• to W•••• F•••• A•••••••left Apr 3, 2003, registered Jul 1, 2003 (89 days) · Other
- C•••• U• N•• left W•••• F•••• A••••••• for •••••••• (registered 2023-09-01)Sep 7, 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
- 31derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address