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.
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E••• J•••• K••••••••
- C•••••• S••••• • C••• I••• national BD currentsince Mar 14, 2023 · Oklahoma City, Ok
- F••••••• P••••••• A•• W•••••••• A••••••• formerJul 13, 2018 to Feb 1, 2023 · Boston, Ma
- S•••••••• A••••••• L•• national BDNov 10, 2015 to Jul 13, 2018 · Mountain View, Ca
- L•••••• W••••• M••••••••• L•• formerDec 22, 2010 to Oct 18, 2011 · Oakland, Ca
- W•••• F•••• A••••••• wirehouseJan 1, 2008 to Jan 26, 2009 · Santa Barbara, Ca
- A• G• E•••••• • S•••• I••• unclassifiedJun 19, 2007 to Jan 1, 2008 · St. Louis, Mo
- F••••••• P••••••• A•• W•••••••• A••••••• to C•••••• S••••• • C••• I•••left Feb 1, 2023, registered Mar 14, 2023 (41 days) · Affiliated broker-dealer or bank to another · moved with a team
- 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
- L•••••• W••••• M••••••••• L•• to S•••••••• A••••••• L••left Oct 18, 2011, registered Nov 10, 2015 (1484 days) · Other
- W•••• F•••• A••••••• to L•••••• W••••• M••••••••• L••left Jan 26, 2009, registered Dec 22, 2010 (695 days) · Other
- A• G• E•••••• • S•••• I••• to W•••• F•••• A•••••••left Jan 1, 2008, registered Jan 1, 2008 (0 days) · corporate re-registration, not a move
- E••• J•••• K•••••••• left F••••••• P••••••• A•• W•••••••• A••••••• for C•••••• S••••• • C••• I••• (registered 2023-03-14)Feb 1, 2023 · 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
- National broker-dealer RIAderived
- Years in industry
- 19derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address