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.
C•••••• E••••• C••••••
- B• R•••• W••••• A•••••••• I••• BD affiliated currentsince Mar 21, 2023 · Castle Rock, Co
- B• R•••• W••••• A•••••••• I••• BD affiliatedAug 4, 2022 to Sep 15, 2022 · Castle Rock, Co
- B• R•••• W••••• M••••••••• formerOct 15, 2012 to Sep 15, 2022 · Memphis, Tn
- W•••• F•••• A••••••• wirehouseFeb 22, 2010 to Oct 15, 2012 · Memphis, Tn
- B• R•••• W••••• M••••••••• to B• R•••• W••••• A•••••••• I•••left Sep 15, 2022, registered Aug 4, 2022 (-42 days) · Affiliated broker-dealer or bank to another · moved with a team
- W•••• F•••• A••••••• to B• R•••• W••••• M•••••••••left Oct 15, 2012, registered Oct 15, 2012 (0 days) · Other
- C•••••• E••••• C•••••• left B• R•••• W••••• M••••••••• for B• R•••• W••••• A•••••••• I••• (registered 2022-08-04)Sep 15, 2022 · 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
- 16derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address