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.
T•••••• F•••••• P•••••
- A••••••••• F•••••••• S•••••••• L•• national BD currentsince May 9, 2022 · Live Oak, Tx
- C••• F•••••••• S•••••••• L••• formerJun 20, 2016 to Jun 28, 2021 · Santa Rosa, Ca
- L•• F•••••••• L•• BD affiliatedNov 13, 2012 to Jun 29, 2016 · Denver, Co
- C••• B•••••••• S•••••••• I••• formerMay 12, 2010 to Nov 16, 2012 · Chicago, Il
- C•••• I••••••••• S••••••• C•••• formerOct 27, 2005 to May 5, 2010 · Chicago, Il
- F•••• C•••••• B••• unclassifiedApr 12, 2004 to Sep 2, 2005 · Fort Worth, Tx
- F•••• C•••••• F•••••••• P•••••••• I••• formerJan 2, 2004 to Oct 13, 2005 · Havelock, Nc
- C••• F•••••••• S•••••••• L••• to A••••••••• F•••••••• S•••••••• L••left Jun 28, 2021, registered May 9, 2022 (315 days) · Affiliated broker-dealer or bank to another
- L•• F•••••••• L•• to C••• F•••••••• S•••••••• L•••left Jun 29, 2016, registered Jun 20, 2016 (-9 days) · Other
- C••• B•••••••• S•••••••• I••• to L•• F•••••••• L••left Nov 16, 2012, registered Nov 13, 2012 (-3 days) · Other
- C•••• I••••••••• S••••••• C•••• to C••• B•••••••• S•••••••• I•••left May 5, 2010, registered May 12, 2010 (7 days) · Other
- F•••• C•••••• F•••••••• P•••••••• I••• to F•••• C•••••• B•••left Oct 13, 2005, registered Apr 12, 2004 (-549 days) · Other
- F•••• C•••••• B••• to C•••• I••••••••• S••••••• C••••left Sep 2, 2005, registered Oct 27, 2005 (55 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
- 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