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.
R••••• E••••
- S•••••••• A••••••• L•• national BD currentsince Mar 31, 2025 · Tucson, Az
- F••••••• P••••••• A•• W•••••••• A••••••• formerJul 13, 2018 to Mar 31, 2025 · Boston, Ma
- S•••••••• A••••••• L•• national BDNov 25, 2015 to Jul 13, 2018 · Tucson, Az
- J••• M••••• S••••••••• L•• wirehouseMar 21, 2014 to Oct 29, 2015 · Tucson, Az
- T•• O•• R•••• F•••••••• S••••••• G••••• I•• independent RIAJun 9, 2009 to Jul 30, 2010 · Golden Valley, Mn
- M••••• S•••••• wirehouseJun 1, 2009 to Jun 10, 2009 · St. Paul, Mn
- M••••• S•••••• • C•• L•• unclassifiedApr 2, 2007 to Jun 1, 2009 · St. Paul, Mn
- M••••• S•••••• D• I••• unclassifiedJan 22, 2007 to Apr 2, 2007 · St. Paul, Mn
- 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
- J••• M••••• S••••••••• L•• to S•••••••• A••••••• L••left Oct 29, 2015, registered Nov 25, 2015 (27 days) · Wirehouse to affiliated broker-dealer or bank
- T•• O•• R•••• F•••••••• S••••••• G••••• I•• to J••• M••••• S••••••••• L••left Jul 30, 2010, registered Mar 21, 2014 (1330 days) · Other
- M••••• S•••••• to T•• O•• R•••• F•••••••• S••••••• G••••• I••left Jun 10, 2009, registered Jun 9, 2009 (-1 days) · Other
- M••••• S•••••• • C•• L•• to M••••• S••••••left Jun 1, 2009, registered Jun 1, 2009 (0 days) · corporate re-registration, not a move
- M••••• S•••••• D• I••• to M••••• S•••••• • C•• L••left Apr 2, 2007, registered Apr 2, 2007 (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
- National broker-dealer RIAderived
- Years in industry
- 19derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address