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.
- E••••• J•••• national BD currentsince Aug 14, 2024 · St. Louis, Mo
- T••••••• I••••••••• M••••••••• I••• BD affiliatedSep 8, 2023 to Jul 3, 2024 · Minneapolis, Mn
- A••••••• F•••••••• A•••••••• L•• BD affiliatedAug 28, 2018 to Sep 7, 2023 · Irving, Tx
- A••••••• F•••••••• A•••••••• L•• BD affiliatedJan 18, 2013 to Jul 18, 2017 · Las Vegas, Nv
- L•• F•••••••• L•• BD affiliatedDec 18, 2007 to Jan 28, 2013 · Las Vegas, Nv
- W•••• F•••• A••••••• wirehouseSep 26, 2006 to Jan 4, 2008 · Las Vegas, Nv
- T••••••• I••••••••• M••••••••• I••• to E••••• J••••left Jul 3, 2024, registered Aug 14, 2024 (42 days) · Affiliated broker-dealer or bank to another
- A••••••• F•••••••• A•••••••• L•• to T••••••• I••••••••• M••••••••• I•••left Sep 7, 2023, registered Sep 8, 2023 (1 days) · Affiliated broker-dealer or bank to another
- L•• F•••••••• L•• to A••••••• F•••••••• A•••••••• L••left Jan 28, 2013, registered Jan 18, 2013 (-10 days) · Other
- W•••• F•••• A••••••• to L•• F•••••••• L••left Jan 4, 2008, registered Dec 18, 2007 (-17 days) · Other
- G••• P•••••• left T••••••• I••••••••• M••••••••• I••• for E••••• J•••• (registered 2024-08-14)Jul 3, 2024 · Advisor changed firm · fact
- G••• P•••••• left A••••••• F•••••••• A•••••••• L•• for T••••••• I••••••••• M••••••••• I••• (registered 2023-09-08)Sep 7, 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
- National broker-dealer RIAderived
- Years in industry
- 23derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address