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.
W•••••• R••• C•••••••
- I•• W••••• M••••••••• L•• BD affiliated currentsince Dec 10, 2019 · Chicago, Il
- M••••• S•••••• wirehouseJun 1, 2009 to Apr 24, 2017 · Las Vegas, Nv
- M••••• S•••••• • C•• L•• unclassifiedOct 5, 2007 to Jun 1, 2009 · Las Vegas, Nv
- W•••• F•••• A••••••• wirehouseJul 1, 2003 to Oct 10, 2007 · Las Vegas, Nv
- P••••••••• E••••• G••••• L•• unclassifiedJul 14, 1999 to Jul 1, 2003 · Walnut Creek, Ca
- M••••• S•••••• to I•• W••••• M••••••••• L••left Apr 24, 2017, registered Dec 10, 2019 (960 days) · Wirehouse to independent RIA
- M••••• S•••••• • C•• L•• to M••••• S••••••left Jun 1, 2009, registered Jun 1, 2009 (0 days) · corporate re-registration, not a move
- W•••• F•••• A••••••• to M••••• S•••••• • C•• L••left Oct 10, 2007, registered Oct 5, 2007 (-5 days) · Other
- P••••••••• E••••• G••••• L•• to W•••• F•••• A•••••••left Jul 1, 2003, registered Jul 1, 2003 (0 days) · corporate re-registration, not a move
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
- 31derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address