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.
T•••••• E•••••••• C••••
- S•••••••• A••••••• L•• national BD currentsince Mar 31, 2025 · Salt Lake City, Ut
- F••••••• P••••••• A•• W•••••••• A••••••• formerOct 18, 2022 to Mar 31, 2025 · Salt Lake City, Ut
- T• A••••••••• I••• formerJan 31, 2018 to Dec 31, 2020 · Glen Allen, Va
- T• A••••••••• I••••••••• M••••••••• L•• formerJan 31, 2018 to Jan 11, 2021 · St. Louis, Mo
- S•••••••• I••••••••• M••••••••• formerApr 14, 2015 to Apr 7, 2018 · Saint Louis, Mo
- W•••••• • R••• formerAug 8, 2014 to Nov 25, 2014 · Eugene, Or
- C••• F•••••••• S•••••••• L••• formerAug 21, 2013 to Jul 11, 2014 · Eugene, Or
- M••••• S•••••• wirehouseJun 1, 2009 to Sep 4, 2013 · Eugene, Or
- C•••••••• G••••• M•••••• I••• BD affiliatedJun 15, 2006 to Jun 1, 2009 · Eugene, Or
- F••••••• P••••••• A•• W•••••••• A••••••• to S•••••••• A••••••• L••left Mar 31, 2025, registered Mar 31, 2025 (0 days) · corporate re-registration, not a move
- T• A••••••••• I••••••••• M••••••••• L•• to F••••••• P••••••• A•• W•••••••• A•••••••left Jan 11, 2021, registered Oct 18, 2022 (645 days) · RIA to affiliated broker-dealer or bank
- T• A••••••••• I••• to T• A••••••••• I••••••••• M••••••••• L••left Dec 31, 2020, registered Jan 31, 2018 (-1065 days) · corporate re-registration, not a move
- S•••••••• I••••••••• M••••••••• to T• A••••••••• I•••left Apr 7, 2018, registered Jan 31, 2018 (-66 days) · channel change inside one enterprise, not a move
- W•••••• • R••• to S•••••••• I••••••••• M•••••••••left Nov 25, 2014, registered Apr 14, 2015 (140 days) · Other
- C••• F•••••••• S•••••••• L••• to W•••••• • R•••left Jul 11, 2014, registered Aug 8, 2014 (28 days) · Other
- M••••• S•••••• to C••• F•••••••• S•••••••• L•••left Sep 4, 2013, registered Aug 21, 2013 (-14 days) · Other
- C•••••••• G••••• M•••••• I••• to M••••• S••••••left Jun 1, 2009, registered Jun 1, 2009 (0 days) · corporate re-registration, not a move
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
- National broker-dealer RIAderived
- Years in industry
- 21derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address