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.
R••• C•••••• B••••••
- A••••••• A••••••• S•••••••• L•• BD affiliated currentsince Sep 26, 2024 · Lincoln, Ne
- A••••••• A••••••• S••••••• formerJan 25, 2016 to Dec 20, 2019 · Las Vegas, Nv
- S••••••••• A•••••• A•••••••• I••• formerJan 13, 2015 to Dec 31, 2015 · Las Vegas, Nv
- S••••• F•••••••• S•••••••• I••• formerAug 5, 2008 to Dec 31, 2014 · Las Vegas, Nv
- F•••• C•••••• F•••••••• P•••••••• I••• formerMar 24, 2003 to Oct 13, 2003 · Lakewood, Wa
- A••••••• A••••••• S••••••• to A••••••• A••••••• S•••••••• L••left Dec 20, 2019, registered Sep 26, 2024 (1742 days) · channel change inside one enterprise, not a move
- S••••••••• A•••••• A•••••••• I••• to A••••••• A••••••• S•••••••left Dec 31, 2015, registered Jan 25, 2016 (25 days) · Other
- S••••• F•••••••• S•••••••• I••• to S••••••••• A•••••• A•••••••• I•••left Dec 31, 2014, registered Jan 13, 2015 (13 days) · Other
- F•••• C•••••• F•••••••• P•••••••• I••• to S••••• F•••••••• S•••••••• I•••left Oct 13, 2003, registered Aug 5, 2008 (1758 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
- 29derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address