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.
A•••• D••••• S•••••
- C•••••• S••••• • C••• I••• national BD currentsince May 11, 2021 · Westlake, Tx
- T• A••••••••• I••• formerMar 13, 2018 to May 10, 2021 · Omaha, Ne
- T• A••••••••• I••••••••• M••••••••• L•• formerMar 13, 2018 to May 11, 2021 · Indian Wells, Ca
- S•••••••• I••••••••• M••••••••• formerSep 22, 2016 to Mar 13, 2018 · Saint Louis, Mo
- S•••••••• R•••••••• C•••••• M••••••••• L•• independent RIAJul 31, 2013 to Oct 25, 2013 · Newport Beach, Ca
- T• A••••••••• I••• formerFeb 9, 2012 to May 2, 2013 · Mission Viejo, Ca
- T• A••••••••• I••••••••• M••••••••• L•• formerFeb 9, 2012 to May 2, 2013 · Mission Viejo, Ca
- C•••• I••••••••• S••••••• C•••• formerMar 16, 2011 to Jan 23, 2012 · Huntington Beach, Ca
- H••••• C•••••• M••••••••• formerNov 20, 2009 to Sep 15, 2010 · Los Angeles, Ca
- T• A••••••••• I••••••••• M••••••••• L•• to C•••••• S••••• • C••• I•••left May 11, 2021, registered May 11, 2021 (0 days) · channel change inside one enterprise, not a move
- T• A••••••••• I••• to T• A••••••••• I••••••••• M••••••••• L••left May 10, 2021, registered Mar 13, 2018 (-1154 days) · channel change inside one enterprise, not a move
- S•••••••• I••••••••• M••••••••• to T• A••••••••• I•••left Mar 13, 2018, registered Mar 13, 2018 (0 days) · channel change inside one enterprise, not a move
- S•••••••• R•••••••• C•••••• M••••••••• L•• to S•••••••• I••••••••• M•••••••••left Oct 25, 2013, registered Sep 22, 2016 (1063 days) · Other
- T• A••••••••• I••••••••• M••••••••• L•• to T• A••••••••• I•••left May 2, 2013, registered Feb 9, 2012 (-448 days) · Other
- T• A••••••••• I••• to T• A••••••••• I••••••••• M••••••••• L••left May 2, 2013, registered Feb 9, 2012 (-448 days) · channel change inside one enterprise, not a move
- C•••• I••••••••• S••••••• C•••• to T• A••••••••• I••••••••• M••••••••• L••left Jan 23, 2012, registered Feb 9, 2012 (17 days) · Other
- H••••• C•••••• M••••••••• to C•••• I••••••••• S••••••• C••••left Sep 15, 2010, registered Mar 16, 2011 (182 days) · Other
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
- National broker-dealer RIAderived
- Years in industry
- 26derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address