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.
B••••• V•• L•••
- J••• M••••• S••••••••• L•• wirehouse currentsince May 29, 2019 · Lake Havasu City, Az
- C••••• A•••••• N••••••• L•• formerMay 30, 2018 to Jun 24, 2019 · Lake Havasu City, Az
- A•••••• A••••••• S••••••• formerNov 2, 2017 to Jun 8, 2018 · Scottsdale, Az
- A••••••••• W••••• P••••••• independent RIAApr 18, 2017 to Oct 17, 2017 · Maple Grove, Mn
- J•• F•••••••• A•••••••• I••• formerJan 13, 2014 to Feb 15, 2017 · Maple Grove, Mn
- C••••• A•••••• N••••••• L•• formerJan 13, 2014 to Oct 31, 2017 · Mpls, Mn
- C••••• A•••••• N••••••• L•• to J••• M••••• S••••••••• L••left Jun 24, 2019, registered May 29, 2019 (-26 days) · Affiliated broker-dealer or bank to wirehouse
- A•••••• A••••••• S••••••• to C••••• A•••••• N••••••• L••left Jun 8, 2018, registered May 30, 2018 (-9 days) · Affiliated broker-dealer or bank to another
- C••••• A•••••• N••••••• L•• to A••••••••• W••••• P•••••••left Oct 31, 2017, registered Apr 18, 2017 (-196 days) · Other
- A••••••••• W••••• P••••••• to A•••••• A••••••• S•••••••left Oct 17, 2017, registered Nov 2, 2017 (16 days) · Other
- J•• F•••••••• A•••••••• I••• to C••••• A•••••• N••••••• L••left Feb 15, 2017, registered Jan 13, 2014 (-1129 days) · Other · moved with a team
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
- Wirehousederived
- Years in industry
- 30derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address