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.
B•••• P•••••• C••••••
- M••••• S•••••• wirehouse currentsince Jul 19, 2024 · Las Vegas, Nv
- L•• F•••••••• L•• BD affiliatedOct 17, 2016 to Aug 1, 2024 · Las Vegas, Nv
- Z•••• C•••••• A•••••••• I••• institutionalJan 13, 2012 to Oct 7, 2016 · Las Vegas, Nv
- M•• F•••••••• S•••••••• I••• formerJul 20, 2006 to Dec 19, 2011 · Las Vegas, Nv
- L•• F•••••••• L•• to M••••• S••••••left Aug 1, 2024, registered Jul 19, 2024 (-13 days) · Affiliated broker-dealer or bank to wirehouse
- Z•••• C•••••• A•••••••• I••• to L•• F•••••••• L••left Oct 7, 2016, registered Oct 17, 2016 (10 days) · Other
- M•• F•••••••• S•••••••• I••• to Z•••• C•••••• A•••••••• I•••left Dec 19, 2011, registered Jan 13, 2012 (25 days) · Other
- B•••• P•••••• C•••••• left L•• F•••••••• L•• for M••••• S•••••• (registered 2024-07-19)Aug 1, 2024 · 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
- 21derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address