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••••• W••••••
- B•••• F•••••••• A••••••• independent RIA currentsince Feb 4, 2022 · Frederick, Md
- S••••• W••••• A•••••••• I••• no RAUMJan 4, 2016 to Jan 30, 2017 · San Francisco, Ca
- W••••• F•••••••• A•••••••• L•• formerOct 13, 2014 to Oct 12, 2015 · Milwaukee, Wi
- S••••• W••••• A•••••••• I••• no RAUMJan 3, 2012 to Oct 30, 2012 · Phoenix, Az
- C•••••• S••••• • C••• I••• national BDAug 12, 2011 to Apr 17, 2013 · Phoenix, Az
- S••••• W••••• A•••••••• I••• to B•••• F•••••••• A•••••••left Jan 30, 2017, registered Feb 4, 2022 (1831 days) · Other
- W••••• F•••••••• A•••••••• L•• to S••••• W••••• A•••••••• I•••left Oct 12, 2015, registered Jan 4, 2016 (84 days) · Other
- C•••••• S••••• • C••• I••• to S••••• W••••• A•••••••• I•••left Apr 17, 2013, registered Jan 3, 2012 (-470 days) · channel change inside one enterprise, not a move
- S••••• W••••• A•••••••• I••• to W••••• F•••••••• A•••••••• L••left Oct 30, 2012, registered Oct 13, 2014 (713 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
- 16derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address