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••••• S•••
- A••••••••• I••• BD affiliated currentsince Jun 28, 2022 · Concord, Ca
- R•••••• I••••••••• asset managerMay 2, 2017 to Feb 26, 2018 · Milwaukee, Wi
- P•• W••••• M••••••••• BD affiliatedJul 19, 2016 to Oct 12, 2016 · Fort Wayne, In
- C••••• C••••••• L•• formerFeb 9, 2011 to Sep 15, 2015 · Denver, Co
- C•••• I••••••••• S••••••• C•••• formerMar 9, 2010 to Oct 12, 2010 · Duluth, Ga
- W•••• F•••• A••••••• wirehouseDec 20, 2007 to Mar 2, 2010 · Duluth, Ga
- J••• M••••• I••••••••• M••••••••• I••• asset managerJan 17, 2007 to Dec 18, 2007 · New York, Ny
- C•••• I••••••••• S••••••• C•••• formerJul 27, 2006 to Nov 28, 2006 · Fort Wayne, In
- R•••••• I••••••••• to A••••••••• I•••left Feb 26, 2018, registered Jun 28, 2022 (1583 days) · Other
- P•• W••••• M••••••••• to R•••••• I•••••••••left Oct 12, 2016, registered May 2, 2017 (202 days) · Other
- C••••• C••••••• L•• to P•• W••••• M•••••••••left Sep 15, 2015, registered Jul 19, 2016 (308 days) · Other
- C•••• I••••••••• S••••••• C•••• to C••••• C••••••• L••left Oct 12, 2010, registered Feb 9, 2011 (120 days) · Other
- W•••• F•••• A••••••• to C•••• I••••••••• S••••••• C••••left Mar 2, 2010, registered Mar 9, 2010 (7 days) · Other
- J••• M••••• I••••••••• M••••••••• I••• to W•••• F•••• A•••••••left Dec 18, 2007, registered Dec 20, 2007 (2 days) · Other
- C•••• I••••••••• S••••••• C•••• to J••• M••••• I••••••••• M••••••••• I•••left Nov 28, 2006, registered Jan 17, 2007 (50 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
- 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