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.
S•••• D••• P•••••
- P••••••••• B•••••••• S•••••••• I••• independent RIA currentsince Oct 24, 2018 · Green Bay, Wi
- F•••••••• E••••• S•••••••• I••• formerDec 10, 2012 to Oct 23, 2018 · Oceanside, Ca
- S••••••••• A•••••• A•••••••• I••• formerJan 7, 2008 to Dec 7, 2012 · San Clemente, Ca
- C••••• A•••••• N••••••• L•• formerAug 31, 2006 to Nov 29, 2007 · Oceanside, Ca
- F•••• W•••••• A••••••• formerMay 14, 2003 to Jan 3, 2005 · Midvale, Ut
- C••••• A•••••• N••••••• L•• formerFeb 7, 2001 to May 12, 2003 · Midvale, Ut
- F•••••••• E••••• S•••••••• I••• to P••••••••• B•••••••• S•••••••• I•••left Oct 23, 2018, registered Oct 24, 2018 (1 days) · Affiliated broker-dealer or bank to independent RIA · moved with a team
- S••••••••• A•••••• A•••••••• I••• to F•••••••• E••••• S•••••••• I•••left Dec 7, 2012, registered Dec 10, 2012 (3 days) · Other
- C••••• A•••••• N••••••• L•• to S••••••••• A•••••• A•••••••• I•••left Nov 29, 2007, registered Jan 7, 2008 (39 days) · Other
- F•••• W•••••• A••••••• to C••••• A•••••• N••••••• L••left Jan 3, 2005, registered Aug 31, 2006 (605 days) · Other
- C••••• A•••••• N••••••• L•• to F•••• W•••••• A•••••••left May 12, 2003, registered May 14, 2003 (2 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
- Independent wealth managerderived
- Years in industry
- 28derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address