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••• F••••• M••••••
- W•••• F•••• A••••••• wirehouse currentsince Jan 24, 2025 · Chatham, Nj
- L•• F•••••••• L•• BD affiliatedMay 28, 2009 to Feb 20, 2025 · San Diego, Ca
- C•••••••• G••••• M•••••• I••• BD affiliatedFeb 21, 2006 to May 29, 2009 · Raleigh, Nc
- L••• M•••• W••• W•••••• I••••••••• unclassifiedDec 31, 2001 to Feb 21, 2006 · Raleigh, Nc
- L•• F•••••••• L•• to W•••• F•••• A•••••••left Feb 20, 2025, registered Jan 24, 2025 (-27 days) · Affiliated broker-dealer or bank to wirehouse
- C•••••••• G••••• M•••••• I••• to L•• F•••••••• L••left May 29, 2009, registered May 28, 2009 (-1 days) · Other
- L••• M•••• W••• W•••••• I••••••••• to C•••••••• G••••• M•••••• I•••left Feb 21, 2006, registered Feb 21, 2006 (0 days) · corporate re-registration, not a move
- J••• F••••• M•••••• left L•• F•••••••• L•• for W•••• F•••• A••••••• (registered 2025-01-24)Feb 20, 2025 · 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
- Wirehousederived
- Years in industry
- 24derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address