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.
M•••••• D••• J•••
- M••••• O• O•••• I••••••• S•••••••• I••• independent RIA currentsince Nov 10, 2022 · Braintree, Ma
- E•••• S••••••••• L•• BD affiliatedAug 10, 2021 to Aug 25, 2022 · Waltham, Ma
- H•••••• T••••••• • K•••• L•• independent RIAOct 25, 2017 to Aug 7, 2019 · Charlotte, Nc
- O••••••••• S••••••••• I••• BD affiliatedMay 1, 2015 to Jan 25, 2017 · Urbandale, Ia
- T••••••• I••••••••• M••••••••• I••• BD affiliatedJul 8, 2014 to Sep 10, 2014 · Johnston, Ia
- E•••• S••••••••• L•• to M••••• O• O•••• I••••••• S•••••••• I•••left Aug 25, 2022, registered Nov 10, 2022 (77 days) · Affiliated broker-dealer or bank to independent RIA
- H•••••• T••••••• • K•••• L•• to E•••• S••••••••• L••left Aug 7, 2019, registered Aug 10, 2021 (734 days) · Affiliated broker-dealer or bank to another
- O••••••••• S••••••••• I••• to H•••••• T••••••• • K•••• L••left Jan 25, 2017, registered Oct 25, 2017 (273 days) · Other
- T••••••• I••••••••• M••••••••• I••• to O••••••••• S••••••••• I•••left Sep 10, 2014, registered May 1, 2015 (233 days) · Other
- M•••••• D••• J••• left E•••• S••••••••• L•• for M••••• O• O•••• I••••••• S•••••••• I••• (registered 2022-11-10)Aug 25, 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
- Independent wealth managerderived
- Years in industry
- 32derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address