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•••••• T••••• R••••••
- D•••••••• W••••• M••••••••• L•• independent RIA currentsince Apr 11, 2024 · Lewes, De
- D•••••••• A••••••• S•••••••• L•• BD affiliated currentsince Oct 3, 2023 · South Jordan, Ut
- D••• I••••••••• L•• formerOct 21, 2022 to Jan 2, 2024 · Dover, De
- K••••• A••••••• S•••••••• L•• BD affiliatedMar 20, 2017 to Oct 21, 2022 · Dover, De
- W•• A•••••••• L• formerMar 17, 2011 to Mar 21, 2017 · Dover, De
- E•• F•••••••• A••••••• independent RIADec 15, 2005 to Mar 18, 2011 · Dover, De
- D••• I••••••••• L•• to D•••••••• A••••••• S•••••••• L••left Jan 2, 2024, registered Oct 3, 2023 (-91 days) · RIA to affiliated broker-dealer or bank
- K••••• A••••••• S•••••••• L•• to D••• I••••••••• L••left Oct 21, 2022, registered Oct 21, 2022 (0 days) · Affiliated broker-dealer or bank to independent RIA · moved with a team
- W•• A•••••••• L• to K••••• A••••••• S•••••••• L••left Mar 21, 2017, registered Mar 20, 2017 (-1 days) · Other · moved with a team
- E•• F•••••••• A••••••• to W•• A•••••••• L•left Mar 18, 2011, registered Mar 17, 2011 (-1 days) · Other
- M•••••• T••••• R•••••• left D••• I••••••••• L•• for D•••••••• A••••••• S•••••••• L•• (registered 2023-10-03)Jan 2, 2024 · Advisor changed firm · fact
- M•••••• T••••• R•••••• left K••••• A••••••• S•••••••• L•• for D••• I••••••••• L•• (registered 2022-10-21)Oct 21, 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
- 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