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.
M••• D•••• A••••••••
- L•• F•••••••• L•• BD affiliated currentsince Feb 21, 2020 · Saint George, Ut
- O•••• W•••••• I••• BD affiliatedNov 2, 2018 to Feb 25, 2020 · St George, Ut
- S••••••• I••••••••• I••• formerJan 28, 2014 to Nov 2, 2018 · Lafayette, Ca
- F•••• A••••• A••••••• S•••••••• I••• formerJul 2, 2012 to Sep 26, 2013 · Chesterfield, Mo
- F•••• A••••• S••••••••• I••• formerNov 1, 2007 to Jul 2, 2012 · San Diego, Ca
- U••• B•••••• I••••••••• I••• formerApr 5, 2006 to Sep 8, 2006 · St. George, Ut
- O•••• W•••••• I••• to L•• F•••••••• L••left Feb 25, 2020, registered Feb 21, 2020 (-4 days) · Affiliated broker-dealer or bank to another
- S••••••• I••••••••• I••• to O•••• W•••••• I•••left Nov 2, 2018, registered Nov 2, 2018 (0 days) · corporate re-registration, not a move
- F•••• A••••• A••••••• S•••••••• I••• to S••••••• I••••••••• I•••left Sep 26, 2013, registered Jan 28, 2014 (124 days) · Other
- F•••• A••••• S••••••••• I••• to F•••• A••••• A••••••• S•••••••• I•••left Jul 2, 2012, registered Jul 2, 2012 (0 days) · corporate re-registration, not a move
- U••• B•••••• I••••••••• I••• to F•••• A••••• S••••••••• I•••left Sep 8, 2006, registered Nov 1, 2007 (419 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
- 27derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address