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•••• W•••••• S•••••••
- I•• W••••• M••••••••• L•• BD affiliated currentsince Mar 17, 2026 · Chicago, Il
- R•••••• J•••• • A••••••••• I••• national BDDec 7, 2015 to Aug 20, 2020 · Tampa, Fl
- W•••• F•••• A••••••• wirehouseJan 1, 2008 to Dec 7, 2015 · Zephyrhills, Fl
- A• G• E•••••• • S•••• I••• unclassifiedSep 11, 2007 to Jan 1, 2008 · St. Louis, Mo
- R•••••• J•••• • A••••••••• I••• to I•• W••••• M••••••••• L••left Aug 20, 2020, registered Mar 17, 2026 (2035 days) · Affiliated broker-dealer or bank to another
- W•••• F•••• A••••••• to R•••••• J•••• • A••••••••• I•••left Dec 7, 2015, registered Dec 7, 2015 (0 days) · Wirehouse to affiliated broker-dealer or bank · moved with a team
- 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
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
- 19derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address