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••• L•••• D••••••••
- L•• F•••••••• L•• BD affiliated currentsince Jul 21, 2021 · Las Vegas, Nv
- W•••••• • R••• formerApr 24, 2015 to Jul 21, 2021 · Las Vegas, Nv
- M•• F•••••••• S•••••••• I••• formerJan 2, 2015 to May 6, 2015 · Las Vegas, Nv
- N•• E•••••• S••••••••• C••••••••• formerDec 21, 2011 to Jan 2, 2015 · Las Vegas, Nv
- W•••• F•••• A••••••• wirehouseJan 3, 2011 to Dec 19, 2011 · Las Vegas, Nv
- W•••• F•••• I••••••••• L•• unclassifiedJun 2, 2005 to Jan 3, 2011 · North Las Vegas, Nv
- B••• O• A•••••• I••••••••• S•••••••• I••• unclassifiedNov 21, 2003 to Oct 25, 2004 · Las Vegas, Nv
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseOct 15, 2001 to Nov 26, 2003 · Las Vegas, Nv
- W•••••• • R••• to L•• F•••••••• L••left Jul 21, 2021, registered Jul 21, 2021 (0 days) · corporate re-registration, not a move
- M•• F•••••••• S•••••••• I••• to W•••••• • R•••left May 6, 2015, registered Apr 24, 2015 (-12 days) · Other · moved with a team
- N•• E•••••• S••••••••• C••••••••• to M•• F•••••••• S•••••••• I•••left Jan 2, 2015, registered Jan 2, 2015 (0 days) · corporate re-registration, not a move
- W•••• F•••• A••••••• to N•• E•••••• S••••••••• C•••••••••left Dec 19, 2011, registered Dec 21, 2011 (2 days) · Other
- W•••• F•••• I••••••••• L•• to W•••• F•••• A•••••••left Jan 3, 2011, registered Jan 3, 2011 (0 days) · corporate re-registration, not a move
- B••• O• A•••••• I••••••••• S•••••••• I••• to W•••• F•••• I••••••••• L••left Oct 25, 2004, registered Jun 2, 2005 (220 days) · Other
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to B••• O• A•••••• I••••••••• S•••••••• I•••left Nov 26, 2003, registered Nov 21, 2003 (-5 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
- 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