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.
A••• A•• S•••••
- R••••• W• B•••• • C•• I••••••••• mixed wealth currentsince Oct 30, 2023 · Edina, Mn
- W•••• F•••• A••••••• wirehouseMar 5, 2012 to Nov 8, 2023 · St. Louis, Mo
- J••• H•••••• I••••••••• M••••••••• L•• asset managerAug 25, 2008 to Dec 31, 2010 · Boston, Ma
- M••••••• I••••••••• M••••••••• ••• L•• asset managerAug 25, 2008 to Mar 2, 2012 · Boston, Ma
- R•••••• I••••••••• asset managerJul 23, 2007 to Aug 15, 2008 · Dallas, Tx
- W•••• F•••• A••••••• to R••••• W• B•••• • C•• I•••••••••left Nov 8, 2023, registered Oct 30, 2023 (-9 days) · Wirehouse to independent RIA
- M••••••• I••••••••• M••••••••• ••• L•• to W•••• F•••• A•••••••left Mar 2, 2012, registered Mar 5, 2012 (3 days) · Other
- J••• H•••••• I••••••••• M••••••••• L•• to M••••••• I••••••••• M••••••••• ••• L••left Dec 31, 2010, registered Aug 25, 2008 (-858 days) · corporate re-registration, not a move
- R•••••• I••••••••• to J••• H•••••• I••••••••• M••••••••• L••left Aug 15, 2008, registered Aug 25, 2008 (10 days) · Other
- A••• A•• S••••• left W•••• F•••• A••••••• for R••••• W• B•••• • C•• I••••••••• (registered 2023-10-30)Nov 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
- Wealth manager with institutional or fund businessderived
- Years in industry
- 19derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address