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••••••••• independent RIA currentsince Jan 20, 2022 · Del Mar, Ca
- M••••• S•••••• wirehouseOct 29, 2021 to Jan 11, 2022 · La Jolla, Ca
- U••• B•••••• I••••••••• I••• formerOct 3, 2016 to Jul 9, 2021 · Midvale, Ut
- S•••••••• A••••••• L•• national BDSep 2, 2015 to Jun 23, 2016 · Salt Lake City, Ut
- W•••• F•••• A••••••• wirehouseApr 8, 2014 to Aug 12, 2015 · St. Louis, Mo
- W•••• F•••• A••••••• wirehouseOct 14, 2009 to Feb 25, 2014 · Woodland Hills, Ca
- W•••• F•••• I••••••••• L•• unclassifiedMay 24, 2002 to Sep 23, 2009 · Boulder, Co
- M••••• S•••••• to B•••••••••left Jan 11, 2022, registered Jan 20, 2022 (9 days) · Wirehouse to independent RIA
- U••• B•••••• I••••••••• I••• to M••••• S••••••left Jul 9, 2021, registered Oct 29, 2021 (112 days) · Affiliated broker-dealer or bank to wirehouse
- S•••••••• A••••••• L•• to U••• B•••••• I••••••••• I•••left Jun 23, 2016, registered Oct 3, 2016 (102 days) · Other
- W•••• F•••• A••••••• to S•••••••• A••••••• L••left Aug 12, 2015, registered Sep 2, 2015 (21 days) · Wirehouse to affiliated broker-dealer or bank · moved with a team
- W•••• F•••• I••••••••• L•• to W•••• F•••• A•••••••left Sep 23, 2009, registered Oct 14, 2009 (21 days) · Other
- M•••••• D• D••• left M••••• S•••••• for Bakeravenue (registered 2022-01-20)Jan 11, 2022 · 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
- 29derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address