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.
M•••••• C••••• C••••••
- M••••• S•••••• wirehouse currentsince Apr 9, 2020 · Westlake Village, Ca
- A••••••••• F•••••••• S•••••••• L•• national BDDec 4, 2018 to Apr 3, 2020 · Los Angeles, Ca
- S•••••••• I••••••••• M••••••••• formerSep 15, 2016 to Mar 8, 2018 · Saint Louis, Mo
- T• A••••••••• I••••••••• M••••••••• L•• formerSep 8, 2011 to Apr 4, 2012 · Draper, Ut
- T• A••••••••• I••• formerSep 8, 2011 to Apr 4, 2012 · Draper, Ut
- E•••••• C•••••• M••••••••• L•• formerJun 24, 2009 to Sep 8, 2011 · Arlington, Va
- A••••••••• F•••••••• S•••••••• L•• to M••••• S••••••left Apr 3, 2020, registered Apr 9, 2020 (6 days) · Affiliated broker-dealer or bank to wirehouse
- S•••••••• I••••••••• M••••••••• to A••••••••• F•••••••• S•••••••• L••left Mar 8, 2018, registered Dec 4, 2018 (271 days) · Affiliated broker-dealer or bank to another · moved with a team
- T• A••••••••• I••• to T• A••••••••• I••••••••• M••••••••• L••left Apr 4, 2012, registered Sep 8, 2011 (-209 days) · channel change inside one enterprise, not a move
- T• A••••••••• I••••••••• M••••••••• L•• to S•••••••• I••••••••• M•••••••••left Apr 4, 2012, registered Sep 15, 2016 (1625 days) · Other
- E•••••• C•••••• M••••••••• L•• to T• A••••••••• I•••left Sep 8, 2011, registered Sep 8, 2011 (0 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
- Wirehousederived
- Years in industry
- 21derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address