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•••••• C••••••• R••••••••
- L•• F•••••••• L•• BD affiliated currentsince Jan 3, 2025 · San Diego, Ca
- J••• M••••• S••••••••• L•• wirehouseOct 23, 2020 to Nov 2, 2021 · Tempe, Az
- M••••• S•••••• wirehouseDec 19, 2016 to Jun 10, 2020 · San Diego, Ca
- M••• W••••• independent RIAAug 22, 2016 to Sep 9, 2016 · Plantation, Fl
- M•• G•••• • A••••••••• I••• formerJan 22, 2015 to Sep 9, 2016 · North Miami Beach, Fl
- U•• F•••••••• S••••••• I••• wirehouseNov 18, 2009 to Jul 1, 2014 · Chicago, Il
- J••• M••••• S••••••••• L•• to L•• F•••••••• L••left Nov 2, 2021, registered Jan 3, 2025 (1158 days) · Wirehouse to affiliated broker-dealer or bank
- M••••• S•••••• to J••• M••••• S••••••••• L••left Jun 10, 2020, registered Oct 23, 2020 (135 days) · Wirehouse to wirehouse
- M•• G•••• • A••••••••• I••• to M••• W•••••left Sep 9, 2016, registered Aug 22, 2016 (-18 days) · Other
- M••• W••••• to M••••• S••••••left Sep 9, 2016, registered Dec 19, 2016 (101 days) · Other
- U•• F•••••••• S••••••• I••• to M•• G•••• • A••••••••• I•••left Jul 1, 2014, registered Jan 22, 2015 (205 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
- 16derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address