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.
L•••• G•••• S••••••
- R•••••• J•••• • A••••••••• I••• national BD currentsince Aug 26, 2024 · Las Vegas, Nv
- M••••• S•••••• wirehouseNov 13, 2012 to Aug 27, 2024 · Las Vegas, Nv
- L••••• A•••••••• L•• formerJan 11, 2008 to Nov 9, 2012 · Las Vegas, Nv
- S••••• F•••••••• G•••• I•• formerAug 18, 2005 to Dec 20, 2007 · Henderson, Nv
- M••••• S•••••• to R•••••• J•••• • A••••••••• I•••left Aug 27, 2024, registered Aug 26, 2024 (-1 days) · Wirehouse to affiliated broker-dealer or bank
- L••••• A•••••••• L•• to M••••• S••••••left Nov 9, 2012, registered Nov 13, 2012 (4 days) · Other
- S••••• F•••••••• G•••• I•• to L••••• A•••••••• L••left Dec 20, 2007, registered Jan 11, 2008 (22 days) · Other
- L•••• G•••• S•••••• left M••••• S•••••• for R•••••• J•••• • A••••••••• I••• (registered 2024-08-26)Aug 27, 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
- National broker-dealer RIAderived
- Years in industry
- 29derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address