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.
G••• R•••••
- S•••••••• A••••••• L•• national BD currentsince Mar 31, 2025 · Mount Pleasant, Sc
- F••••••• P••••••• A•• W•••••••• A••••••• formerJul 13, 2018 to Mar 31, 2025 · Boston, Ma
- S•••••••• A••••••• L•• national BDOct 5, 2016 to Jul 13, 2018 · Seal Beach, Ca
- R•••••• J•••• • A••••••••• I••• national BDSep 6, 2016 to Sep 15, 2016 · San Francisco, Ca
- D••••••• B••• S••••••••• I••• no RAUMApr 22, 2014 to Sep 6, 2016 · San Francisco, Ca
- J••• M••••• S••••••••• L•• wirehouseOct 1, 2012 to Apr 3, 2014 · Surprise, Az
- C•••• I••••••••• S••••••• C•••• formerMar 15, 2012 to Oct 1, 2012 · Surprise, Az
- S•••••••• A••••••• L•• national BDJul 14, 2008 to Jun 6, 2011 · Scottsdale, Az
- F••••••• P••••••• A•• W•••••••• A••••••• to S•••••••• A••••••• L••left Mar 31, 2025, registered Mar 31, 2025 (0 days) · corporate re-registration, not a move
- S•••••••• A••••••• L•• to F••••••• P••••••• A•• W•••••••• A•••••••left Jul 13, 2018, registered Jul 13, 2018 (0 days) · corporate re-registration, not a move
- R•••••• J•••• • A••••••••• I••• to S•••••••• A••••••• L••left Sep 15, 2016, registered Oct 5, 2016 (20 days) · Affiliated broker-dealer or bank to another
- D••••••• B••• S••••••••• I••• to R•••••• J•••• • A••••••••• I•••left Sep 6, 2016, registered Sep 6, 2016 (0 days) · corporate re-registration, not a move
- J••• M••••• S••••••••• L•• to D••••••• B••• S••••••••• I•••left Apr 3, 2014, registered Apr 22, 2014 (19 days) · Other
- C•••• I••••••••• S••••••• C•••• to J••• M••••• S••••••••• L••left Oct 1, 2012, registered Oct 1, 2012 (0 days) · corporate re-registration, not a move
- S•••••••• A••••••• L•• to C•••• I••••••••• S••••••• C••••left Jun 6, 2011, registered Mar 15, 2012 (283 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
- National broker-dealer RIAderived
- Years in industry
- 20derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address