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.
C•••••••• P•••••• G•••••
- J••• M••••• S••••••••• L•• wirehouse currentsince Aug 24, 2022 · Denver, Co
- W•••• F•••• A••••••• wirehouseMar 9, 2022 to Aug 3, 2022 · Tarpon Springs, Fl
- J••• M••••• S••••••••• L•• wirehouseOct 1, 2012 to Mar 6, 2022 · Sonoma, Ca
- C•••• I••••••••• S••••••• C•••• formerJul 13, 2007 to Oct 1, 2012 · Golden, Co
- O•• P•••••• I••••••••• I•• formerMay 24, 2004 to Dec 19, 2005 · New York, Ny
- U•• F•••••••• S••••••• I••• wirehouseMar 18, 2002 to Mar 11, 2004 · Chicago, Il
- W•••• F•••• A••••••• to J••• M••••• S••••••••• L••left Aug 3, 2022, registered Aug 24, 2022 (21 days) · Wirehouse to wirehouse
- J••• M••••• S••••••••• L•• to W•••• F•••• A•••••••left Mar 6, 2022, registered Mar 9, 2022 (3 days) · Wirehouse to wirehouse
- C•••• I••••••••• S••••••• C•••• to J••• M••••• S••••••••• L••left Oct 1, 2012, registered Oct 1, 2012 (0 days) · corporate re-registration, not a move
- O•• P•••••• I••••••••• I•• to C•••• I••••••••• S••••••• C••••left Dec 19, 2005, registered Jul 13, 2007 (571 days) · Other
- U•• F•••••••• S••••••• I••• to O•• P•••••• I••••••••• I••left Mar 11, 2004, registered May 24, 2004 (74 days) · Other
- C•••••••• P•••••• G••••• left W•••• F•••• A••••••• for J••• M••••• S••••••••• L•• (registered 2022-08-24)Aug 3, 2022 · Advisor changed firm · fact
- C•••••••• P•••••• G••••• left J••• M••••• S••••••••• L•• for W•••• F•••• A••••••• (registered 2022-03-09)Mar 6, 2022 · 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