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.
L••• R••• S••••
- I••••••••• F•••••••• G••••• L•• BD affiliated currentsince Mar 17, 2021 · Rexburg, Id
- L•• F•••••••• L•• BD affiliatedOct 17, 2016 to Mar 17, 2021 · Rexburg, Id
- W•••• F•••• A••••••• wirehouseSep 25, 2014 to Oct 26, 2016 · Billings, Mt
- K•• I••••••••• S••••••• L•• BD affiliatedSep 9, 2014 to Sep 25, 2014 · Tacoma, Wa
- L•• F•••••••• L•• to I••••••••• F•••••••• G••••• L••left Mar 17, 2021, registered Mar 17, 2021 (0 days) · Affiliated broker-dealer or bank to independent RIA
- W•••• F•••• A••••••• to L•• F•••••••• L••left Oct 26, 2016, registered Oct 17, 2016 (-9 days) · Other
- K•• I••••••••• S••••••• L•• to W•••• F•••• A•••••••left Sep 25, 2014, registered Sep 25, 2014 (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
- Broker-dealer affiliated wealth managerderived
- Years in industry
- 22derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address