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.
T••••• S•••• A•••••••
- T••••••• I••••••••• M••••••••• I••• BD affiliated currentsince Dec 3, 2021 · Fort Lauderdale, Fl
- A••••••••• F•••••••• S•••••••• L•• national BDAug 13, 2020 to Nov 10, 2021 · Los Angeles, Ca
- W•••••• • R••• formerJul 29, 2008 to Aug 17, 2020 · Virginia Beach, Va
- A••••••••• F•••••••• S•••••••• L•• national BDOct 6, 2006 to Jul 28, 2008 · Phoenix, Az
- A••••••••• F•••••••• S•••••••• L•• to T••••••• I••••••••• M••••••••• I•••left Nov 10, 2021, registered Dec 3, 2021 (23 days) · Affiliated broker-dealer or bank to another
- W•••••• • R••• to A••••••••• F•••••••• S•••••••• L••left Aug 17, 2020, registered Aug 13, 2020 (-4 days) · Affiliated broker-dealer or bank to another
- A••••••••• F•••••••• S•••••••• L•• to W•••••• • R•••left Jul 28, 2008, registered Jul 29, 2008 (1 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
- 23derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address