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.
P•••• E•••• S••••
- L•• F•••••••• L•• BD affiliated currentsince Jul 21, 2021 · Las Vegas, Nv
- W•••••• • R••• formerApr 24, 2015 to Jul 21, 2021 · Las Vegas, Nv
- M•• F•••••••• S•••••••• I••• formerJan 2, 2015 to May 6, 2015 · Las Vegas, Nv
- N•• E•••••• S••••••••• C••••••••• formerDec 21, 2011 to Jan 2, 2015 · Las Vegas, Nv
- W•••••• S••••••••• I••• BD affiliatedMar 14, 2007 to Dec 20, 2011 · Henderson, Nv
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseOct 28, 1996 to Mar 5, 2007 · Las Vegas, Nv
- W•••••• • R••• to L•• F•••••••• L••left Jul 21, 2021, registered Jul 21, 2021 (0 days) · corporate re-registration, not a move
- M•• F•••••••• S•••••••• I••• to W•••••• • R•••left May 6, 2015, registered Apr 24, 2015 (-12 days) · Other · moved with a team
- N•• E•••••• S••••••••• C••••••••• to M•• F•••••••• S•••••••• I•••left Jan 2, 2015, registered Jan 2, 2015 (0 days) · corporate re-registration, not a move
- W•••••• S••••••••• I••• to N•• E•••••• S••••••••• C•••••••••left Dec 20, 2011, registered Dec 21, 2011 (1 days) · Other
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to W•••••• S••••••••• I•••left Mar 5, 2007, registered Mar 14, 2007 (9 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
- Broker-dealer affiliated wealth managerderived
- Years in industry
- 30derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address