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.
J••••••• H•••
- S•••••••• A••••••• L•• national BD currentsince Mar 31, 2025 · Layton, Ut
- F••••••• P••••••• A•• W•••••••• A••••••• formerJul 13, 2018 to Mar 31, 2025 · Boston, Ma
- S•••••••• A••••••• L•• national BDOct 29, 2015 to Jul 13, 2018 · Surprise, Az
- C•••••• S••••• • C••• I••• national BDSep 10, 2014 to Dec 17, 2014 · Phoenix, Az
- C•••••••• F••••••••• I••• BD affiliatedNov 12, 2013 to Aug 6, 2014 · Anaheim, Ca
- I••••• F•••••••• C••••••••• formerSep 27, 2013 to Nov 12, 2013 · Sun City West, Az
- S•••••••• A••••••• L•• national BDFeb 4, 2010 to Sep 5, 2013 · Smithfield, Ri
- F••••••• P••••••• A•• W•••••••• A••••••• to S•••••••• A••••••• L••left Mar 31, 2025, registered Mar 31, 2025 (0 days) · corporate re-registration, not a move
- S•••••••• A••••••• L•• to F••••••• P••••••• A•• W•••••••• A•••••••left Jul 13, 2018, registered Jul 13, 2018 (0 days) · corporate re-registration, not a move
- C•••••• S••••• • C••• I••• to S•••••••• A••••••• L••left Dec 17, 2014, registered Oct 29, 2015 (316 days) · Affiliated broker-dealer or bank to another
- C•••••••• F••••••••• I••• to C•••••• S••••• • C••• I•••left Aug 6, 2014, registered Sep 10, 2014 (35 days) · Other
- I••••• F•••••••• C••••••••• to C•••••••• F••••••••• I•••left Nov 12, 2013, registered Nov 12, 2013 (0 days) · Other
- S•••••••• A••••••• L•• to I••••• F•••••••• C•••••••••left Sep 5, 2013, registered Sep 27, 2013 (22 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
- 25derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address