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.
A•• B• G••••••
- R•• S••••••••• I••• BD affiliated currentsince Dec 17, 2024 · Los Angeles, Ca
- H•••••••• A•••••••• L•• BD affiliatedJan 11, 2022 to Mar 4, 2023 · Chicago, Il
- C•••••• S••••• • C••• I••• national BDFeb 19, 2019 to Dec 19, 2021 · Phoenix, Az
- F••••••• P••••••• A•• W•••••••• A••••••• formerJul 13, 2018 to Jan 30, 2019 · Boston, Ma
- F••••••• P••••••• T•••• C••••••• F•• unclassifiedJul 9, 2001 to Mar 28, 2007 · Los Angeles, Ca
- S•••••••• A••••••• L•• national BDJan 5, 1998 to Jul 13, 2018 · El Segundo, Ca
- H•••••••• A•••••••• L•• to R•• S••••••••• I•••left Mar 4, 2023, registered Dec 17, 2024 (654 days) · Affiliated broker-dealer or bank to independent RIA
- C•••••• S••••• • C••• I••• to H•••••••• A•••••••• L••left Dec 19, 2021, registered Jan 11, 2022 (23 days) · Affiliated broker-dealer or bank to another
- F••••••• P••••••• A•• W•••••••• A••••••• to C•••••• S••••• • C••• I•••left Jan 30, 2019, registered Feb 19, 2019 (20 days) · Affiliated broker-dealer or bank to another · moved with a team
- S•••••••• A••••••• L•• to F••••••• P••••••• T•••• C••••••• F••left Jul 13, 2018, registered Jul 9, 2001 (-6213 days) · Other · moved with a team
- F••••••• P••••••• T•••• C••••••• F•• to F••••••• P••••••• A•• W•••••••• A•••••••left Mar 28, 2007, registered Jul 13, 2018 (4125 days) · Other
- A•• B• G•••••• left H•••••••• A•••••••• L•• for R•• S••••••••• I••• (registered 2024-12-17)Mar 4, 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
- Broker-dealer affiliated wealth managerderived
- Years in industry
- 32derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address