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.
E••• A••••• P••••••••
- M••••• S•••••• wirehouse currentsince May 14, 2025 · Bloomington, Mn
- F••••• I••••••••• independent RIAMar 15, 2024 to Feb 6, 2025 · Plano, Tx
- R•• C•••••• M••••••• L•• national BDFeb 14, 2023 to Mar 14, 2024 · Dallas, Tx
- C•••••• S••••• • C••• I••• national BDAug 24, 2021 to Jul 7, 2022 · Westlake, Tx
- M••••• S•••••• wirehouseApr 17, 2013 to Jun 29, 2021 · Winter Park, Fl
- V•••• F•••••••• A•••••••• I••• BD affiliatedJan 16, 2013 to Apr 4, 2013 · Orlando, Fl
- J•••••• W••••• M••••••••• L•• independent RIAAug 1, 2012 to Oct 11, 2012 · Lake Mary, Fl
- T• A••••••••• I••••••••• M••••••••• L•• formerOct 7, 2009 to Jan 25, 2011 · Bellevue, Wa
- T• A••••••••• I••• formerOct 7, 2009 to Jan 25, 2011 · Bellevue, Wa
- C•••••• S••••• • C••• I••• national BDJun 16, 2003 to Apr 24, 2009 · Redmond, Wa
- F••••• I••••••••• to M••••• S••••••left Feb 6, 2025, registered May 14, 2025 (97 days) · RIA to wirehouse
- R•• C•••••• M••••••• L•• to F••••• I•••••••••left Mar 14, 2024, registered Mar 15, 2024 (1 days) · Affiliated broker-dealer or bank to independent RIA
- C•••••• S••••• • C••• I••• to R•• C•••••• M••••••• L••left Jul 7, 2022, registered Feb 14, 2023 (222 days) · Affiliated broker-dealer or bank to another
- M••••• S•••••• to C•••••• S••••• • C••• I•••left Jun 29, 2021, registered Aug 24, 2021 (56 days) · Wirehouse to affiliated broker-dealer or bank
- V•••• F•••••••• A•••••••• I••• to M••••• S••••••left Apr 4, 2013, registered Apr 17, 2013 (13 days) · Other
- J•••••• W••••• M••••••••• L•• to V•••• F•••••••• A•••••••• I•••left Oct 11, 2012, registered Jan 16, 2013 (97 days) · Other
- T• A••••••••• I••••••••• M••••••••• L•• to T• A••••••••• I•••left Jan 25, 2011, registered Oct 7, 2009 (-475 days) · channel change inside one enterprise, not a move
- T• A••••••••• I••• to J•••••• W••••• M••••••••• L••left Jan 25, 2011, registered Aug 1, 2012 (554 days) · Other
- C•••••• S••••• • C••• I••• to T• A••••••••• I••••••••• M••••••••• L••left Apr 24, 2009, registered Oct 7, 2009 (166 days) · Other
- E••• A••••• P•••••••• left F••••• I••••••••• for M••••• S•••••• (registered 2025-05-14)Feb 6, 2025 · Advisor changed firm · fact
- E••• A••••• P•••••••• left R•• C•••••• M••••••• L•• for F••••• I••••••••• (registered 2024-03-15)Mar 14, 2024 · Advisor changed firm · fact
- E••• A••••• P•••••••• left C•••••• S••••• • C••• I••• for R•• C•••••• M••••••• L•• (registered 2023-02-14)Jul 7, 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
- Wirehousederived
- Years in industry
- 27derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address