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•••• D•••••• C••••
- O•••• I••••••••• I••• BD affiliated currentsince Nov 16, 2023 · Rio Rancho, Nm
- L•• F•••••••• L•• BD affiliatedMay 18, 2022 to Dec 8, 2023 · Santa Fe, Nm
- C••• B•••••••• S•••••••• I••• formerMay 20, 2014 to May 18, 2022 · Waverly, Ia
- W•••••• • R••• formerDec 12, 2012 to May 6, 2014 · Santa Fe, Nm
- I••••••••• P••••••••• I••• formerMar 8, 2006 to Dec 31, 2012 · Santa Fe, Nm
- W•••••• • R••• formerJun 17, 2002 to Nov 17, 2005 · Metairie, La
- L•• F•••••••• L•• to O•••• I••••••••• I•••left Dec 8, 2023, registered Nov 16, 2023 (-22 days) · Affiliated broker-dealer or bank to another
- C••• B•••••••• S•••••••• I••• to L•• F•••••••• L••left May 18, 2022, registered May 18, 2022 (0 days) · corporate re-registration, not a move
- W•••••• • R••• to C••• B•••••••• S•••••••• I•••left May 6, 2014, registered May 20, 2014 (14 days) · Other
- I••••••••• P••••••••• I••• to W•••••• • R•••left Dec 31, 2012, registered Dec 12, 2012 (-19 days) · Other
- W•••••• • R••• to I••••••••• P••••••••• I•••left Nov 17, 2005, registered Mar 8, 2006 (111 days) · Other
- S•••• D•••••• C•••• left L•• F•••••••• L•• for O•••• I••••••••• I••• (registered 2023-11-16)Dec 8, 2023 · Advisor changed firm · 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
- Broker-dealer affiliated wealth managerderived
- Years in industry
- 24derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address