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.
D••••• J••••• Z••••••
- O•••• W•••••• I••• BD affiliated currentsince Sep 1, 2023 · Scottsdale, Az
- S•••••••• F••••••••• I••• formerMar 16, 2022 to Sep 1, 2023 · Scottsdale, Az
- L•• F•••••••• L•• BD affiliatedSep 16, 2021 to Dec 13, 2021 · Fort Mill, Sc
- C••••••• A••••••• N••••••• L•• independent RIANov 19, 2019 to Mar 24, 2020 · Winter Haven, Fl
- T••••••• S••••••• F•••••••• formerDec 3, 2018 to Aug 19, 2019 · Indianapolis, In
- C•••••••• G••••• M•••••• I••• BD affiliatedSep 30, 2011 to Jan 2, 2019 · Tampa, Fl
- B••••••••• I••••••••• A••••••• S••••••• formerSep 4, 2009 to Jun 2, 2011 · Boca Raton, Fl
- S•••••••• F••••••••• I••• to O•••• W•••••• I•••left Sep 1, 2023, registered Sep 1, 2023 (0 days) · corporate re-registration, not a move
- L•• F•••••••• L•• to S•••••••• F••••••••• I•••left Dec 13, 2021, registered Mar 16, 2022 (93 days) · Affiliated broker-dealer or bank to another
- C••••••• A••••••• N••••••• L•• to L•• F•••••••• L••left Mar 24, 2020, registered Sep 16, 2021 (541 days) · RIA to affiliated broker-dealer or bank
- T••••••• S••••••• F•••••••• to C••••••• A••••••• N••••••• L••left Aug 19, 2019, registered Nov 19, 2019 (92 days) · Affiliated broker-dealer or bank to independent RIA
- C•••••••• G••••• M•••••• I••• to T••••••• S••••••• F••••••••left Jan 2, 2019, registered Dec 3, 2018 (-30 days) · Affiliated broker-dealer or bank to another
- B••••••••• I••••••••• A••••••• S••••••• to C•••••••• G••••• M•••••• I•••left Jun 2, 2011, registered Sep 30, 2011 (120 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
- 28derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address