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.
C••••••••• E••• V•••••
- M•••••• A•••••• N•••••• BD affiliated currentsince Jun 13, 2023 · Reno, Nv
- L•• F•••••••• L•• BD affiliated currentsince Mar 17, 2006 · Reno, Nv
- L••••• W••••• P•••••••• L•• formerOct 2, 2017 to Dec 4, 2023 · Reno, Nv
- R•• C•••••• M••••••• L•• national BDApr 5, 1999 to Mar 23, 2006 · Reno, Nv
- L••••• W••••• P•••••••• L•• to M•••••• A•••••• N••••••left Dec 4, 2023, registered Jun 13, 2023 (-174 days) · RIA to affiliated broker-dealer or bank · moved with a team
- R•• C•••••• M••••••• L•• to L•• F•••••••• L••left Mar 23, 2006, registered Mar 17, 2006 (-6 days) · Other
- C••••••••• E••• V••••• left L••••• W••••• P•••••••• L•• for M•••••• A•••••• N•••••• (registered 2023-06-13)Dec 4, 2023 · a•••••• firm change · 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
- 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