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•••• W•••••• L•• independent RIA currentsince Jan 7, 2022 · Omaha, Ne
- A• W••••• M••••••••• L•• BD affiliatedDec 4, 2017 to Jan 14, 2022 · Omaha, Ne
- B••••••••• W••••• A•••••••• L•• no RAUMMay 9, 2017 to Nov 9, 2017 · Omaha, Ne
- B••••••••• F••••••••• L•• unclassifiedJul 24, 2014 to Jul 20, 2017 · Vero Beach, Fl
- C• A••••••• S••••••• independent RIAJun 28, 2012 to Nov 12, 2014 · Williamston, Mi
- J• W• C••• A•••••••• I••• BD affiliatedApr 12, 2012 to Jun 13, 2012 · Rockledge, Fl
- B••••••••• L•• formerOct 20, 2010 to Jan 27, 2012 · Boca Raton, Fl
- A••••••••• F•••••••• S•••••••• L•• national BDOct 5, 2009 to Oct 19, 2010 · Melbourne, Fl
- A••••••••• A•••••• S•••••••• I••• unclassifiedAug 7, 2009 to Oct 5, 2009 · Viera, Fl
- U•• F•••••••• S••••••• I••• wirehouseFeb 7, 2008 to Aug 18, 2009 · Melbourne, Fl
- M••••• S•••••• • C•• L•• unclassifiedAug 14, 2007 to Jan 29, 2008 · Melbourne, Fl
- A• W••••• M••••••••• L•• to S•••• W•••••• L••left Jan 14, 2022, registered Jan 7, 2022 (-7 days) · Affiliated broker-dealer or bank to a newly registered adviser
- B••••••••• W••••• A•••••••• L•• to A• W••••• M••••••••• L••left Nov 9, 2017, registered Dec 4, 2017 (25 days) · RIA to RIA
- B••••••••• F••••••••• L•• to B••••••••• W••••• A•••••••• L••left Jul 20, 2017, registered May 9, 2017 (-72 days) · Other
- C• A••••••• S••••••• to B••••••••• F••••••••• L••left Nov 12, 2014, registered Jul 24, 2014 (-111 days) · Other
- J• W• C••• A•••••••• I••• to C• A••••••• S•••••••left Jun 13, 2012, registered Jun 28, 2012 (15 days) · Other
- B••••••••• L•• to J• W• C••• A•••••••• I•••left Jan 27, 2012, registered Apr 12, 2012 (76 days) · Other
- A••••••••• F•••••••• S•••••••• L•• to B••••••••• L••left Oct 19, 2010, registered Oct 20, 2010 (1 days) · Other
- A••••••••• A•••••• S•••••••• I••• to A••••••••• F•••••••• S•••••••• L••left Oct 5, 2009, registered Oct 5, 2009 (0 days) · corporate re-registration, not a move
- U•• F•••••••• S••••••• I••• to A••••••••• A•••••• S•••••••• I•••left Aug 18, 2009, registered Aug 7, 2009 (-11 days) · Other
- M••••• S•••••• • C•• L•• to U•• F•••••••• S••••••• I•••left Jan 29, 2008, registered Feb 7, 2008 (9 days) · Other
- D•••• A••••• B••••• left A• W••••• M••••••••• L•• for S•••• W•••••• L•• (registered 2022-01-07)Jan 14, 2022 · 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
- Independent wealth managerderived
- Years in industry
- 27derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address