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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- S•••••••• A••••••• L•• national BD currentsince Mar 31, 2025 · Naples, Fl
- F••••••• P••••••• A•• W•••••••• A••••••• formerJul 21, 2022 to Mar 31, 2025 · Naples, Fl
- C•••••• S••••• • C••• I••• national BDMar 9, 2022 to Apr 21, 2022 · Naples, Fl
- T• A••••••••• I••• formerFeb 27, 2018 to Apr 25, 2022 · Tacoma, Wa
- T• A••••••••• I••••••••• M••••••••• L•• formerFeb 26, 2018 to Apr 25, 2022 · Omaha, Ne
- S•••••••• I••••••••• M••••••••• formerFeb 16, 2017 to Feb 26, 2018 · Saint Louis, Mo
- 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
- T• A••••••••• I••••••••• M••••••••• L•• to T• A••••••••• I•••left Apr 25, 2022, registered Feb 27, 2018 (-1518 days) · channel change inside one enterprise, not a move · moved with a team
- T• A••••••••• I••• to C•••••• S••••• • C••• I•••left Apr 25, 2022, registered Mar 9, 2022 (-47 days) · channel change inside one enterprise, not a move · moved with a team
- C•••••• S••••• • C••• I••• to F••••••• P••••••• A•• W•••••••• A•••••••left Apr 21, 2022, registered Jul 21, 2022 (91 days) · Affiliated broker-dealer or bank to another · moved with a team
- S•••••••• I••••••••• M••••••••• to T• A••••••••• I••••••••• M••••••••• L••left Feb 26, 2018, registered Feb 26, 2018 (0 days) · corporate re-registration, not a move
- D••• G••••••• left C•••••• S••••• • C••• I••• for F••••••• P••••••• A•• W•••••••• A••••••• (registered 2022-07-21)Apr 21, 2022 · 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
- 17derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address