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.
A•••••• D•••••
- U•• F•••••••• S••••••• I••• wirehouse currentsince May 20, 2022 · Chicago, Il
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseDec 24, 2018 to May 24, 2022 · Chicago, Il
- O•••• W•••••• I••• BD affiliatedNov 2, 2018 to Dec 10, 2018 · Scottsdale, Az
- S••••••• I••••••••• I••• formerMar 13, 2017 to Nov 2, 2018 · St. Petersburg, Fl
- T••••• A••••••• S•••••••• I••• BD affiliatedAug 31, 2016 to Mar 9, 2017 · Tampa, Fl
- S••••••• I••••••••• S•••••••• I••• formerApr 3, 2007 to Dec 31, 2016 · Dunedin, Fl
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to U•• F•••••••• S••••••• I•••left May 24, 2022, registered May 20, 2022 (-4 days) · Wirehouse to wirehouse · moved with a team
- O•••• W•••••• I••• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••left Dec 10, 2018, registered Dec 24, 2018 (14 days) · Affiliated broker-dealer or bank to wirehouse
- S••••••• I••••••••• I••• to O•••• W•••••• I•••left Nov 2, 2018, registered Nov 2, 2018 (0 days) · corporate re-registration, not a move
- T••••• A••••••• S•••••••• I••• to S••••••• I••••••••• I•••left Mar 9, 2017, registered Mar 13, 2017 (4 days) · Other
- S••••••• I••••••••• S•••••••• I••• to T••••• A••••••• S•••••••• I•••left Dec 31, 2016, registered Aug 31, 2016 (-122 days) · corporate re-registration, not a move
- A•••••• D••••• left M•••••• L••••• P•••••• F••••• • S•••• I••••••••• for U•• F•••••••• S••••••• I••• (registered 2022-05-20)May 24, 2022 · 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
- Wirehousederived
- Years in industry
- 22derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address