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.
D•••• M••••• R•••••
- L•• F•••••••• L•• BD affiliated currentsince Oct 21, 2020 · Southlake, Tx
- C••••• I••••••••• A••••••• L•• BD affiliatedJan 21, 2014 to Oct 21, 2020 · Shelby, Mt
- C••••• I••••••••• S••••••• L•• formerJul 9, 2010 to Jan 21, 2014 · Shelby, Mt
- D••• D••••••• • C•• independent RIASep 16, 2008 to Jul 14, 2010 · Kalispell, Mt
- U•• F•••••••• S••••••• I••• wirehouseApr 10, 2006 to Sep 26, 2008 · Billings, Mt
- C••••• I••••••••• A••••••• L•• to L•• F•••••••• L••left Oct 21, 2020, registered Oct 21, 2020 (0 days) · Affiliated broker-dealer or bank to another · moved with a team
- C••••• I••••••••• S••••••• L•• to C••••• I••••••••• A••••••• L••left Jan 21, 2014, registered Jan 21, 2014 (0 days) · corporate re-registration, not a move
- D••• D••••••• • C•• to C••••• I••••••••• S••••••• L••left Jul 14, 2010, registered Jul 9, 2010 (-5 days) · Other
- U•• F•••••••• S••••••• I••• to D••• D••••••• • C••left Sep 26, 2008, registered Sep 16, 2008 (-10 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
- 20derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address