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•••••• M••••• M••••
- I•••••••• A•••••••• L•• BD affiliated currentsince Sep 9, 2025 · Urbandale, Ia
- L••• S••••• A•••••••• L•• formerJan 24, 2024 to Nov 3, 2025 · Austin, Tx
- L•• F•••••••• L•• BD affiliatedNov 17, 2014 to Dec 7, 2023 · Wilder, Ky
- M•• F•••••••• S•••••••• I••• formerOct 5, 2011 to Jul 2, 2014 · Charlotte, Nc
- C••••••••• A•••••••• I•• formerFeb 19, 2009 to Dec 3, 2009 · C•••••••••, Oh
- T••••••••• A••••••• I•• asset managerSep 19, 2007 to Feb 10, 2009 · C•••••••••, Oh
- N•• E•••••• S••••••••• C••••••••• formerMar 30, 2007 to Aug 10, 2007 · C•••••••••, Oh
- A••••••••• F•••••••• S•••••••• L•• national BDFeb 14, 2005 to Mar 5, 2007 · C•••••••••, Oh
- L••• S••••• A•••••••• L•• to I•••••••• A•••••••• L••left Nov 3, 2025, registered Sep 9, 2025 (-55 days) · corporate re-registration, not a move
- L•• F•••••••• L•• to L••• S••••• A•••••••• L••left Dec 7, 2023, registered Jan 24, 2024 (48 days) · Affiliated broker-dealer or bank to another
- M•• F•••••••• S•••••••• I••• to L•• F•••••••• L••left Jul 2, 2014, registered Nov 17, 2014 (138 days) · Other
- C••••••••• A•••••••• I•• to M•• F•••••••• S•••••••• I•••left Dec 3, 2009, registered Oct 5, 2011 (671 days) · Other
- T••••••••• A••••••• I•• to C••••••••• A•••••••• I••left Feb 10, 2009, registered Feb 19, 2009 (9 days) · Other
- N•• E•••••• S••••••••• C••••••••• to T••••••••• A••••••• I••left Aug 10, 2007, registered Sep 19, 2007 (40 days) · Other
- A••••••••• F•••••••• S•••••••• L•• to N•• E•••••• S••••••••• C•••••••••left Mar 5, 2007, registered Mar 30, 2007 (25 days) · Other
- M•••••• M••••• M•••• left L•• F•••••••• L•• for L••• S••••• A•••••••• L•• (registered 2024-01-24)Dec 7, 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
- 21derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address