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•••• J••••••
- L•••••• S•• I••••••••• A•••••••• L••••• BD affiliated currentsince Apr 28, 2023 · Las Vegas, Nv
- S••••••••• A•••••• A•••••••• I••• formerDec 20, 2021 to Apr 25, 2023 · Las Vegas, Nv
- N••••••••• M••••• I••••••••• S••••••••• no RAUMAug 17, 2021 to Dec 7, 2021 · Las Vegas, Nv
- W•••• F•••• A••••••• wirehouseJan 3, 2011 to Aug 3, 2021 · Las Vegas, Nv
- W•••• F•••• I••••••••• L•• unclassifiedMar 6, 2009 to Jan 3, 2011 · Las Vegas, Nv
- S••••••••• A•••••• A•••••••• I••• to L•••••• S•• I••••••••• A•••••••• L•••••left Apr 25, 2023, registered Apr 28, 2023 (3 days) · Affiliated broker-dealer or bank to another · moved with a team
- N••••••••• M••••• I••••••••• S••••••••• to S••••••••• A•••••• A•••••••• I•••left Dec 7, 2021, registered Dec 20, 2021 (13 days) · Other
- W•••• F•••• A••••••• to N••••••••• M••••• I••••••••• S•••••••••left Aug 3, 2021, registered Aug 17, 2021 (14 days) · Other
- W•••• F•••• I••••••••• L•• to W•••• F•••• A•••••••left Jan 3, 2011, registered Jan 3, 2011 (0 days) · corporate re-registration, not a move
- J•••• J•••••• left S••••••••• A•••••• A•••••••• I••• for L•••••• S•• I••••••••• A•••••••• L••••• (registered 2023-04-28)Apr 25, 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
- Broker-dealer affiliated wealth managerderived
- Years in industry
- 26derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address