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.
R•••••• G••••• S•••••••
- L•• F•••••••• L•• BD affiliated currentsince Jun 24, 2024 · San Diego, Ca
- S•••••••• F••••••••• I••• formerAug 12, 2014 to Sep 1, 2023 · Scottsdale, Az
- O•••• W•••••• I••• BD affiliatedAug 12, 2014 to Jun 27, 2024 · Scottsdale, Az
- W••••••• F•••••••• S•••••••• I••• formerAug 12, 2014 to Jan 19, 2024 · Oakdale, Mn
- F•• S••••••••• C••••••••• formerAug 12, 2014 to Nov 3, 2023 · Atlanta, Ga
- L•••• C•••••• G•••• formerJul 30, 2010 to Jul 10, 2014 · San Diego, Ca
- O•••• W•••••• I••• to L•• F•••••••• L••left Jun 27, 2024, registered Jun 24, 2024 (-3 days) · Affiliated broker-dealer or bank to another
- W••••••• F•••••••• S•••••••• I••• to O•••• W•••••• I•••left Jan 19, 2024, registered Aug 12, 2014 (-3447 days) · corporate re-registration, not a move
- F•• S••••••••• C••••••••• to W••••••• F•••••••• S•••••••• I•••left Nov 3, 2023, registered Aug 12, 2014 (-3370 days) · channel change inside one enterprise, not a move
- S•••••••• F••••••••• I••• to F•• S••••••••• C•••••••••left Sep 1, 2023, registered Aug 12, 2014 (-3307 days) · channel change inside one enterprise, not a move · moved with a team
- L•••• C•••••• G•••• to S•••••••• F••••••••• I•••left Jul 10, 2014, registered Aug 12, 2014 (33 days) · Other
- R•••••• G••••• S••••••• left O•••• W•••••• I••• for L•• F•••••••• L•• (registered 2024-06-24)Jun 27, 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
- Broker-dealer affiliated wealth managerderived
- Years in industry
- 17derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address