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••• J•••• R•••••
- O•••• W•••••• I••• BD affiliated currentsince Jan 19, 2024 · Sparks, Nv
- W••••••• F•••••••• S•••••••• I••• formerApr 12, 2021 to Jan 19, 2024 · Reno, Nv
- M•••••• A••••• S••••••••• L•• BD affiliatedMar 25, 2009 to Apr 9, 2021 · Henderson, Nv
- M•••••• A••••• A•••••••• I••• unclassifiedJan 1, 2009 to Mar 25, 2009 · Reno, Nv
- W••••••• F•••••••• S•••••••• I••• to O•••• W•••••• I•••left Jan 19, 2024, registered Jan 19, 2024 (0 days) · corporate re-registration, not a move
- M•••••• A••••• S••••••••• L•• to W••••••• F•••••••• S•••••••• I•••left Apr 9, 2021, registered Apr 12, 2021 (3 days) · Affiliated broker-dealer or bank to another
- M•••••• A••••• A•••••••• I••• to M•••••• A••••• S••••••••• L••left Mar 25, 2009, registered Mar 25, 2009 (0 days) · corporate re-registration, not a move
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
- 37derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address