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.
S••••• J••• R••••••
- D••••• W•••••• L•• independent RIA currentsince Jan 2, 2024 · Palm Beach Gardens, Fl
- L•••• W••••• formerDec 22, 2015 to Mar 19, 2024 · Sartell, Mn
- C•••••• A••••••• L•• asset managerDec 17, 2012 to Feb 18, 2015 · Naperville, Il
- C•••••• W••••• M••••••••• L•• independent RIAJun 28, 2010 to Dec 12, 2012 · Naperville, Il
- I•••••• A•••••••• I••• asset managerJan 1, 2010 to Jun 5, 2010 · Atlanta, Ga
- I•••••• A•• P•••••• A•••• M••••••••• I••• unclassifiedJan 15, 2008 to Jan 1, 2010 · Houston, Tx
- C•••••• S••••• • C••• I••• national BDMay 15, 2002 to May 19, 2003 · San Francisco, Ca
- L•••• W••••• to D••••• W•••••• L••left Mar 19, 2024, registered Jan 2, 2024 (-77 days) · RIA to RIA · moved with a team
- C•••••• A••••••• L•• to L•••• W•••••left Feb 18, 2015, registered Dec 22, 2015 (307 days) · Other
- C•••••• W••••• M••••••••• L•• to C•••••• A••••••• L••left Dec 12, 2012, registered Dec 17, 2012 (5 days) · Other
- I•••••• A•••••••• I••• to C•••••• W••••• M••••••••• L••left Jun 5, 2010, registered Jun 28, 2010 (23 days) · Other
- I•••••• A•• P•••••• A•••• M••••••••• I••• to I•••••• A•••••••• I•••left Jan 1, 2010, registered Jan 1, 2010 (0 days) · corporate re-registration, not a move
- C•••••• S••••• • C••• I••• to I•••••• A•• P•••••• A•••• M••••••••• I•••left May 19, 2003, registered Jan 15, 2008 (1702 days) · Other
- S••••• J••• R•••••• left L•••• W••••• for D••••• W•••••• L•• (registered 2024-01-02)Mar 19, 2024 · 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
- Independent wealth managerderived
- Years in industry
- 30derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address