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•••••• S•••• A•••••••
- C•••••• S••••• • C••• I••• national BD currentsince Aug 17, 2023 · Henderson, Nv
- T• A••••••••• I••• formerNov 2, 2021 to Oct 14, 2022 · Las Vegas, Nv
- T• A••••••••• I••••••••• M••••••••• L•• formerNov 2, 2021 to Sep 7, 2023 · Las Vegas, Nv
- T• A••••••••• I••••••••• M••••••••• L•• formerJul 24, 2013 to Dec 31, 2020 · Las Vegas, Nv
- T• A••••••••• I••• formerJul 24, 2013 to Jan 11, 2021 · Las Vegas, Nv
- H•••••• S••••••••• I••• BD affiliatedJan 22, 2009 to Feb 21, 2012 · Las Vegas, Nv
- M••• S•••• • C••• L••• unclassifiedSep 9, 2005 to Dec 9, 2008 · Henderson, Nv
- T• A••••••••• I••••••••• M••••••••• L•• to C•••••• S••••• • C••• I•••left Sep 7, 2023, registered Aug 17, 2023 (-21 days) · corporate re-registration, not a move
- T• A••••••••• I••• to T• A••••••••• I••••••••• M••••••••• L••left Oct 14, 2022, registered Nov 2, 2021 (-346 days) · corporate re-registration, not a move
- T• A••••••••• I••••••••• M••••••••• L•• to T• A••••••••• I•••left Dec 31, 2020, registered Jul 24, 2013 (-2717 days) · corporate re-registration, not a move
- H•••••• S••••••••• I••• to T• A••••••••• I••••••••• M••••••••• L••left Feb 21, 2012, registered Jul 24, 2013 (519 days) · Other
- M••• S•••• • C••• L••• to H•••••• S••••••••• I•••left Dec 9, 2008, registered Jan 22, 2009 (44 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