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.
R•••• R•••••• R•••
- F•••• P••••••• W•••••• L•• independent RIA currentsince Jul 1, 2024 · St. Louis, Mo
- B••••••••• S•••••••• W•••••• L•• formerOct 2, 2020 to Nov 14, 2024 · St Louis, Mo
- F•••• A•••••• S••••••••• L•• independent RIADec 13, 2018 to Oct 2, 2020 · San Jose, Ca
- L•• F•••••••• I••• formerJan 6, 2017 to Dec 13, 2018 · San Jose, Ca
- U•• F•••••••• S••••••• I••• wirehouseDec 13, 2012 to Dec 27, 2016 · Coral Gables, Fl
- B••••••• C•••••• I••• formerJul 25, 2011 to Sep 13, 2012 · Miami, Fl
- U•• F•••••••• S••••••• I••• wirehouseMar 3, 2008 to May 12, 2011 · Miami, Fl
- U•• F•••••••• S••••••• I••• wirehouseSep 29, 2000 to Jun 22, 2006 · Miami, Fl
- B••••••••• S•••••••• W•••••• L•• to F•••• P••••••• W•••••• L••left Nov 14, 2024, registered Jul 1, 2024 (-136 days) · corporate re-registration, not a move
- F•••• A•••••• S••••••••• L•• to B••••••••• S•••••••• W•••••• L••left Oct 2, 2020, registered Oct 2, 2020 (0 days) · RIA to RIA
- L•• F•••••••• I••• to F•••• A•••••• S••••••••• L••left Dec 13, 2018, registered Dec 13, 2018 (0 days) · Affiliated broker-dealer or bank to independent RIA · moved with a team
- U•• F•••••••• S••••••• I••• to L•• F•••••••• I•••left Dec 27, 2016, registered Jan 6, 2017 (10 days) · Other
- B••••••• C•••••• I••• to U•• F•••••••• S••••••• I•••left Sep 13, 2012, registered Dec 13, 2012 (91 days) · Other
- U•• F•••••••• S••••••• I••• to B••••••• C•••••• I•••left May 12, 2011, registered Jul 25, 2011 (74 days) · Other
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
- 26derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address