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.
P•••••• H••••• W••••
- O•••• W•••••• I••• BD affiliated currentsince Jun 7, 2022 · Sun Lakes, Az
- C••••• A•••••• N••••••• L•• formerApr 20, 2022 to Jul 1, 2022 · Billings, Mt
- F•••• F•••••••• E••••• C••••••••• formerJan 11, 2012 to Apr 20, 2022 · Casper, Wy
- K••••• W••••• M••••••••• formerSep 25, 2009 to Jan 31, 2012 · Casper, Wy
- M••••• S•••••• D• I••• unclassifiedApr 1, 2002 to Apr 7, 2006 · Billings, Mt
- C••••• A•••••• N••••••• L•• to O•••• W•••••• I•••left Jul 1, 2022, registered Jun 7, 2022 (-24 days) · Affiliated broker-dealer or bank to another
- F•••• F•••••••• E••••• C••••••••• to C••••• A•••••• N••••••• L••left Apr 20, 2022, registered Apr 20, 2022 (0 days) · Affiliated broker-dealer or bank to another · moved with a team
- K••••• W••••• M••••••••• to F•••• F•••••••• E••••• C•••••••••left Jan 31, 2012, registered Jan 11, 2012 (-20 days) · Other
- M••••• S•••••• D• I••• to K••••• W••••• M•••••••••left Apr 7, 2006, registered Sep 25, 2009 (1267 days) · Other
- P•••••• H••••• W•••• left C••••• A•••••• N••••••• L•• for O•••• W•••••• I••• (registered 2022-06-07)Jul 1, 2022 · a•••••• firm change · fact
- P•••••• H••••• W•••• left F•••• F•••••••• E••••• C••••••••• for C••••• A•••••• N••••••• L•• (registered 2022-04-20)Apr 20, 2022 · a•••••• firm change · 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
- 44derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address