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.
J••••• L•• G•••
- C•••• C•••• F•••••••• M••••••••• L•• independent RIA currentsince Sep 23, 2019 · Meridian, Id
- W•••• F•••• A••••••• wirehouseApr 5, 2016 to Sep 25, 2019 · Boise, Id
- K•• I••••••••• S••••••• L•• BD affiliatedOct 26, 2010 to Apr 5, 2016 · Tacoma, Wa
- E••••• J•••• national BDMay 28, 2009 to Oct 15, 2010 · St Louis, Mo
- M••••• S•••••• D• I••• unclassifiedMay 7, 2004 to May 16, 2005 · Orlando, Fl
- W•••• F•••• A••••••• to C•••• C•••• F•••••••• M••••••••• L••left Sep 25, 2019, registered Sep 23, 2019 (-2 days) · Wirehouse to independent RIA
- K•• I••••••••• S••••••• L•• to W•••• F•••• A•••••••left Apr 5, 2016, registered Apr 5, 2016 (0 days) · Other
- E••••• J•••• to K•• I••••••••• S••••••• L••left Oct 15, 2010, registered Oct 26, 2010 (11 days) · Other
- M••••• S•••••• D• I••• to E••••• J••••left May 16, 2005, registered May 28, 2009 (1473 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
- Independent wealth managerderived
- Years in industry
- 22derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address