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.
J••••• M•••••
- L•• F•••••••• L•• BD affiliated currentsince Jan 18, 2023 · Las Vegs, Nv
- A••••••••• F•••••••• S•••••••• L•• national BDAug 3, 2020 to Jun 23, 2022 · Las Vegas, Nv
- L•• F•••••••• L•• BD affiliatedNov 29, 2017 to May 3, 2019 · Henderson, Nv
- N••••••• P••••••• C••••••••• •••• O• A••••••• I• F• • N•• formerJul 18, 2016 to Nov 29, 2017 · Henderson, Nv
- R••••••••• D•••• unclassifiedMar 9, 2012 to Apr 22, 2013 · Las Vegas, Nv
- U•• F•••••••• S••••••• I••• wirehouseJan 30, 2006 to Nov 6, 2009 · Las Vegas, Nv
- M••••• S•••••• D• I••• unclassifiedNov 24, 2004 to May 3, 2005 · Las Vegas, Nv
- O•••• F•• I••• formerJan 24, 2003 to Dec 19, 2003 · Las Vegas, Nv
- A••••••••• F•••••••• S•••••••• L•• to L•• F•••••••• L••left Jun 23, 2022, registered Jan 18, 2023 (209 days) · Affiliated broker-dealer or bank to independent RIA
- L•• F•••••••• L•• to A••••••••• F•••••••• S•••••••• L••left May 3, 2019, registered Aug 3, 2020 (458 days) · RIA to affiliated broker-dealer or bank
- N••••••• P••••••• C••••••••• •••• O• A••••••• I• F• • N•• to L•• F•••••••• L••left Nov 29, 2017, registered Nov 29, 2017 (0 days) · Other
- R••••••••• D•••• to N••••••• P••••••• C••••••••• •••• O• A••••••• I• F• • N••left Apr 22, 2013, registered Jul 18, 2016 (1183 days) · Other
- U•• F•••••••• S••••••• I••• to R••••••••• D••••left Nov 6, 2009, registered Mar 9, 2012 (854 days) · Other
- M••••• S•••••• D• I••• to U•• F•••••••• S••••••• I•••left May 3, 2005, registered Jan 30, 2006 (272 days) · Other
- O•••• F•• I••• to M••••• S•••••• D• I•••left Dec 19, 2003, registered Nov 24, 2004 (341 days) · Other
- J••••• M••••• left A••••••••• F•••••••• S•••••••• L•• for L•• F•••••••• L•• (registered 2023-01-18)Jun 23, 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
- Broker-dealer affiliated wealth managerderived
- Years in industry
- 27derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address