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.
P•••• E••••• M••••••
- N•••••• A••••••• BD affiliated currentsince Sep 30, 2021 · New Orleans, La
- I•• W••••• M••••••••• L•• BD affiliatedMay 13, 2021 to Sep 30, 2021 · Chicago, Il
- W•••• F•••• A••••••• wirehouseJul 1, 2003 to May 17, 2021 · Salt Lake City, Ut
- P••••••••• E••••• G••••• L•• unclassifiedFeb 4, 2000 to Jul 1, 2003 · Salt Lake City, Ut
- I•• W••••• M••••••••• L•• to N•••••• A•••••••left Sep 30, 2021, registered Sep 30, 2021 (0 days) · RIA to affiliated broker-dealer or bank
- W•••• F•••• A••••••• to I•• W••••• M••••••••• L••left May 17, 2021, registered May 13, 2021 (-4 days) · Wirehouse to independent RIA · moved with a team
- P••••••••• E••••• G••••• L•• to W•••• F•••• A•••••••left Jul 1, 2003, registered Jul 1, 2003 (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
- 26derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address