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.
G•••• W•••••• L••••••
- C••••• I••••••••• A••••••• L•• BD affiliated currentsince Jun 29, 2023 · Reno, Nv
- C••• B•••••••• S•••••••• I••• formerApr 15, 2004 to Apr 3, 2018 · Reno, Nv
- E•••••••• A•••••••• L•• national BDJul 19, 2002 to Apr 9, 2004 · Reno, Nv
- C••• B•••••••• S•••••••• I••• to C••••• I••••••••• A••••••• L••left Apr 3, 2018, registered Jun 29, 2023 (1913 days) · RIA to affiliated broker-dealer or bank
- E•••••••• A•••••••• L•• to C••• B•••••••• S•••••••• I•••left Apr 9, 2004, registered Apr 15, 2004 (6 days) · Other
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
- 24derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address